Norm Ashkenas

SVP-Chief Compliance Officer

  • Company:Fidelity
  • Short Bio:Norm Ashkenas is Senior Vice President, CCO for Fidelity Brokerage Services, running Broker/Dealer and Insurance compliance for Fidelity Investments’ retail and retirement business. He has been with Fidelity since 2003 in various compliance leadership roles, including field, product and regulatory, internal controls and ASL covering B/D, IA, ERISA/Tax and TA issues. He has also been CCO for Fidelity Distributors Corporation and Fidelity Personal Trust. Previously, Mr. Ashkenas spent 10 years with Prudential Securities as SVP for Regulatory & Compliance Examinations, and VP/Associate General Counsel. Prior to that, he was a litigation attorney with Chemical Bank. He is on the FINRA District 11 Committee and Membership Committee, has served on the Regulatory Advisory Committee, and is on the Board of Directors for NSCP and chair of the NSCP Broker/Dealer Committee. Mr. Ashkenas has spoken frequently at industry conferences such as the FINRA Annual Conference, SIFMA Compliance & Legal Division Annual Seminar and NSCP National & Regional Meetings. He earned a BA from Northwestern University and JD from Fordham Law School, and holds Series 7, 14, 24 & 63.
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