About
As Chief Compliance Officer at Wealth Enhancement since 2024, Joe leads the Compliance & Supervision Departments for the firm. These department responsibilities include Supervision, Investigations, Complaint handling, Surveillance, Anti-Money Laundering, Licensing & Registrations, Marketing Compliance, M&A Diligence and general compliance services supporting WEG’s internal broker-dealers, registered investment advisers, and trust services.
Prior to joining Wealth Enhancement in 2021, Joe began his career representing retirees in arbitration claims following the 2000 dot-com market crash before moving on to defend American Express Financial Advisors. In 2007, he joined the General Counsel’s Organization at Ameriprise Financial, where he spent 14 years in Legal, Compliance, Supervision, and Risk Management roles. As a licensed attorney, Joe gives back to his community by providing pro bono legal services through the Minnesota Volunteer Lawyers Network and by supporting girls youth hockey programs in the twin cities.
Education
- JD, Mitchell Hamline School of Law
- BA, Doane College
