Mr. Roberts is responsible for all compliance functions of Carl Marks Securities. He ensures the firm’s activities comply with relevant legal and regulatory requirements by developing and implementing firm-wide compliance policies and procedures. Mr. Roberts is also a Director responsible for Carl Marks Advisors’ business administration functions, including contractual negotiations and legal documentation, engagement tracking, and independent contractor staffing.
Before assuming his CCO position, Mr. Roberts provided financial and operational restructuring services to client stakeholders, including company management teams, lenders, investors and Boards of Directors. His experience includes bankruptcy advisory services, business assessments, performance improvement initiatives, due diligence, mergers and acquisitions transactions, and restructurings.
Mr. Roberts earned a BS in Business Administration with concentrations in Finance and Management from Montclair State University. He is a member of the Turnaround Management Association and a FINRA General Securities Principal.
- Chief Compliance Officer of Carl Marks Securities
- Responsible for Carl Marks Advisors’ business administration functions, contractual negotiation and legal documentation, and independent contractor staffing
