Chief Compliance Officer
Spencer Brown joined South Texas Money Management (STMM) in 2014 as a Compliance Officer, and he currently serves as the firm’s Chief Compliance Officer.
In this role, Mr. Brown is responsible for leading the internal compliance program, promoting and ensuring South Texas Money Management’s compliance with laws, regulations, company policies, and contracts. He is also responsible for implementing the firm’s compliance policies and procedures, including its Code of Ethics, and making sure they are communicated and trained upon across the company.
Prior to joining STMM, Mr. Brown worked in the High Net Worth planning division of New York Life, where his experience included trust and estate planning, income and estate tax planning, and business structure and succession.
Mr. Brown graduated from Southern Methodist University Dedman School of Law, cum laude, and received his B.B.A. in Marketing from the University of Texas at Austin.