Nathan Jodat, President
Nathan Jodat is the founder and President of ITA Compliance, LLC, and has over 17 years of experience in the financial services industry. Since January, 2009, in the role of Compliance Consultant, Nathan has conducted hundreds of examinations for broker-dealers, investment advisers, and transfer agents throughout the United States.
Nathan has experience working with an array of financial institutions varying by the number of representatives and locations; types of investment products; types of customers (including institutions, individuals, trusts, and ERISA plans); supervisory structures; brokerage and custody arrangements; affiliations with other businesses; and regulatory history.
Before starting ITA Compliance, Nathan was a Vice President and Regional Supervisor at Wachovia Securities, LLC (formerly Prudential Securities). His responsibilities included supervising producing branch managers, compliance/regulatory policy training, preparing branch offices for compliance inspections, and following-up on internal audit and regulatory deficiencies. Prior to being promoted to Regional Supervisor, Nathan was a Compliance Examiner in New York. He was responsible for traveling to branch and OSJ locations throughout the country to conduct compliance inspections of registered representatives and investment adviser representatives. As Wachovia is one of the nation's largest full service broker-dealers and dually-registered firms, Nathan was responsible for maintaining a high level of regulatory and product knowledge on investment companies, equities, and alternative investments. During his nearly 10 years at Wachovia, Nathan held other positions including Operations Manager and Financial Adviser.
FINRA Series 3, 7, 9, 10, 63 and 65 licenses (inactive)
SIFMA Compliance and Legal Society
Association of Certified Anti-Money Laundering Specialists
University of Massachusetts, Amherst - B.B.A., cum laude