Norm Ashkenas

SVP – Chief Compliance Officer

  • Company:Fidelity
  • Short Bio:Norm Ashkenas is SVP, Chief Compliance Officer for Fidelity Brokerage Services and Fidelity Personal and Workplace Advisors, running Broker/Dealer, Investment Advisor, Trust and Insurance compliance for Fidelity Investments’ retail, wealth management and retirement business. He has been with Fidelity since 2003 in various compliance leadership roles, covering B/D, IA, Insurance, ERISA/Tax and TA issues. He has also been CCO for Fidelity Distributors Corporation and Fidelity Personal Trust. Mr. Ashkenas was SVP for Regulatory & Compliance Examinations with Prudential Securities Inc., and VP/Associate General Counsel for 10 years, and was a litigation attorney with Chemical Bank. He is the Vice Chair and former Chair for the FINRA National Adjudicatory Council, has served on the FINRA Membership, District 11 and Regulatory Advisory Committees, and serves as Chair for the Board of Directors for the National Society of Compliance Professionals. Mr. Ashkenas has spoken frequently at industry conferences including the FINRA Annual Conference, SIFMA C&L Division Annual & Regional Seminars and NSCP National & Regional Seminars. He earned a BA from Northwestern University and a JD from Fordham Law School, and holds Series 7, 14, 24 & 63.
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