Bio

Chris Fountain serves as a Compliance Consultant on the Advisor Compliance Support Services team at PINE. In his role, he provides guidance and support to investment adviser clients on a wide range of compliance areas. These areas include maintaining robust regulatory compliance programs, compliance training, audits and investigations, ethical business practices, and ensuring timely and accurate completion of regulatory filings. 

Chris has been active in the financial service industry since 1998. Before joining PINE, he worked at TIAA where he helped lead the advisor compensation oversight program. In previous roles with TIAA he led a regulatory supervision team overseeing state level replacement compliance and had roles in client relationship management. He has also held positions with Columbia Threadneedle, Chase Bank and Janus. He has obtained FINRA Series 7, 63 and 24 licenses. Chris earned his Bachelor of Arts in Economics and Business from Lafayette College. 

Chris lives in Denver with his wife and three children. In his free time, he enjoys visiting the mountains, exercising outside, and spending time with his family.