Kamran Fotouhi, CFA

J.S. Held’s Inaugural Global Risk Report Examines Potential Business Risks & Opportunities in 2024

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Kamran Fotouhi has twenty-plus years of experience in the financial services industry with a focus on compliance and supervisory-related matters. He has expertise working with both regulators and financial services firms including traditional top-tier wire house firms, large national full-service broker-dealers, investment management firms, governmental and self-regulatory organizations, insurance companies, banks, large correspondent clearing firms, and over 100 introducing broker-dealers. Kamran is proficient in the regulatory oversight of broker-dealer finances, operations, risk controls and sales practice conduct. He also has extensive experience with due diligence standards and broker-dealer examinations covering product onboarding including private placements and alternative investments.

Prior to joining J.S. Held, he also served as Managing Director at Capital Forensics, Inc. and as a Surveillance Director at FINRA, where he identified and addressed current and emerging risks in conjunction with monitoring the oversight of 265 broker-dealer firms’ compliance with industry rules and regulations. He has also served as Compliance Liaison for First Clearing LLC. (a Division Wells Fargo) where he was the direct point of contact for Chief Compliance Officers and Principals of over 100 introducing broker-dealers regarding compliance and risk matters.

Key Expertise

  • Suitability & Best Interest Standards
  • Regulatory Standards (FINRA & SEC)
  • Broker-Dealer Operations & Financials
  • Supervision
  • Due Diligence
  • Risk Management
  • Anti-Money Laundering
  • Private Placements, Options & Complex Products
  • Investment Analysis

Professional Affiliations/Memberships/Licenses/Training

  • Chartered Financial Analyst (CFA) (1999)
  • Investment Adviser Law Examination (Series 65) (NASAA)
  • CFA Institute; CFA Society South Florida (Director)
  • Securities Industry and Financial Markets Association
  • General Securities Representative (Series 7) - Inactive
  • General Securities Principal (Series 24) - Inactive
  • Uniform Securities Agent State Law Examination (Series 63) (NASAA) - Inactive