Brian S. Rohm is the Chief Compliance Officer of E.F. Hutton & Co., bringing over 11 years of experience overseeing regulatory and supervisory functions across broker-dealer, asset management, trading, and institutional platforms, where he leads compliance across the firm’s investment banking and capital markets activities. His expertise includes investment banking compliance, trade surveillance, regulatory reporting, control room governance, information barrier administration, and transaction-related conflicts management. Prior to E.F. Hutton, Mr. Rohm held senior compliance and supervisory roles at Aegis Capital, Guggenheim Partners, Morgan Stanley, and Neuberger Berman, where he led initiatives including SEC Rule 605/606 reporting, best execution analysis, FINRA CAT remediation, cross-asset surveillance across equities, options, and fixed income, restricted and watch list administration, wall-crossing protocols, and MNPI-related controls supporting complex capital markets transactions. Mr. Rohm holds an MBA in Finance from Pepperdine Graziadio Business School.