Bio

Scott Brown serves as a Director of Adviser Compliance Support Services at PINE. In this role, he assists with the creation, roll out, and ongoing support and oversight of his clients’ regulatory compliance programs, including acting as the Chief Compliance Officer for SEC-registered investment advisers. In his capacity as Associate Director, Scott assists clients with the recommendation and creation of compliance policies and procedures, conducts certain compliance testing functions, and provides informed risk monitoring and mitigation techniques. 

Scott has been active in the regulatory industry since 2020, with a background in banking and finance beginning in 2013 where he worked as an Assistant Vice President of Steele Street Bank & Trust and MidFirst Bank. Scott’s client management and regulatory background has allowed him to develop a well-rounded book of clients to manage at PINE, including RIAs, ERAs, and State-Registered Advisors.  

Scott earned his Bachelor of Science 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.