Erin Preston
Erin Preston currently serves as Chief Compliance Officer of Wedbush Securities Inc. and its affiliate investment adviser, Onward Advisors. Wedbush Securities Inc. is a dually registered full-service broker-dealer and registered investment adviser. At Wedbush, Erin is responsible for the development of policies and procedures related to compliance oversight, and relevant legal matters in association with WS’s brokerage and investment advisory business. She currently manages a team of 16 compliance, supervisory and AML professionals. Prior to Wedbush Securities, Erin was the CCO of National Australia Bank's U.S. broker-dealer, Nabsecurities LLC. At Nabsecurities, Erin was responsible for development of policy and procedures related to compliance oversight and relevant legal matters for that institutional brokerage firm. From 2015 to 2019, Erin served as CCO, AML Compliance Officer and Associate General Counsel at Dash Financial Technologies LLC. At Dash, Erin was responsible for: (i) leadership and strategic direction to senior management and the Board of Directors regarding the firm’s compliance program; and (ii) all legal aspects for the firm. Erin also led the development and implementation of the firm’s compliance policies and procedures, and facilitated and supervised the execution of testing and certification as relating to supervisory policies and procedures. Between 2012 and 2015, Erin was the Director of Compliance at Verition Fund Management LLC. At VFM, Ms. Preston was responsible for day-to-day legal and compliance functions for a registered investment adviser and commodity pool operator, and managed VFM’s regulatory filings, including Form ADV, Form PF and CPO-PQR. Erin began her career at Interactive Brokers LLC. At IB, Erin performed compliance and legal functions and was responsible for the simultaneous management of real-time trading issues and legal responses and conducted surveillance of retail and proprietary trading activities. Erin holds a Series, 7, 24, 63, and 99. Erin is ACAMS Certified as an Anti-Money Laundering Specialist. She is licensed to practice law in the State of New York and Connecticut.