Compliance Officer, Office of Supervisory Jurisdiction (OSJ) - San Antonio Office
Brent Farrimond joined Global Wealth Advisors in 2023 as their compliance officer in the San Antonio office. As such, he serves in the Office of Supervisory Jurisdiction (OSJ), having responsibilities for agents and branch offices, and ensuring adherence to required business practices and compliance. He holds a Bachelor of Business Administration in Accounting from St. Mary’s University.
Previously he worked for Business Financial Group (BFG) in their individual financial consulting department. He was responsible for the back-office investment operations, trading, rebalancing, and management of financial plans for clients. He was also responsible for general client service and daily account management. While with BFG, he served on their recognition committee which honors and celebrates each team member’s professional achievements.
Prior to BFG, Brent worked as an independent agent and for a large financial services company as a brokerage investment operations trader handling trading and complex securities. He holds FINRA Series 7, 55, 63, and 65 securities registrations with Commonwealth Financial Network®, Member FINRA/SIPC, a Registered Investment Advisor.
When not in the office, Brent and his wife enjoy hiking, trips to the beach, and spending time with their three children.