Bio

Scott Brown serves as Director of Adviser Compliance Support Services at PINE, where he leads the development, implementation, and oversight of regulatory compliance programs for clients, including serving as Chief Compliance Officer for SEC-registered investment advisers. As a Director, he also supports clients by recommending and drafting compliance policies and procedures, conducting compliance testing, and providing risk monitoring and mitigation strategies. Scott has been active in the financial and regulatory industry since 2013.  

Prior to joining PINE, he served as Assistant Vice President of Steele Street Bank & Trust and MidFirst Bank. Scott’s client management and regulatory background has allowed him to support a well-rounded book of clients at PINE, including RIAs, ERAs, and State-Registered Advisors. Scott earned his Bachelor of Science degree in Business Administration and Finance from Regis University in Denver, Colorado.  

Outside of work, Scott enjoys staying active and healthy by playing golf, squash, running, and backpacking through Colorado’s mountains and wilderness areas.