FINRA/Wharton Certified Regulatory and Compliance Professional

Work History

Work History

Managing Director, Chief Compliance Officer

FTI Capital Advisors, LLC

Mr. Crittenden is a managing director in FTI’s Corporate Finance practice and is based in Washington, D.C. He is the Chief Compliance Officer of FTI Capital Advisors, LLC (member NASD/SIPC), the investment banking practice of FTI. Over the past 20 years Mr. Crittenden has provided investment services to individual, affluent and corporate clients. He has been in senior management positions at securities firms for more than 16 years.

Mr. Crittenden has expertise performing review, analysis, expert witness and other regulatory services and projects such as NASD rule interpretation, suitability analysis, preparation and implementation of supervisory and compliance policies and procedures as well as NASD arbitration. He has led teams creating and filing initial and continuing registrations for NASD membership and SEC registration for investment advisors as well as developing and building the compliance infrastructure of such firms to be in compliance with U.S. federal securities laws. Having been in the management side of the securities business he can offer a unique company-side, advocacy-based and practical approach to securities cases.

Most recently Mr. Crittenden was a senior regulatory and compliance consultant with The Response Companies of New York where his work included litigation analysis and support and serving as expert witness for law firms in NASD arbitration. Prior to that role, he was the president and chief compliance officer for Marsh & McLennan Companies’ registered investment advisor, broker dealer and national insurance agency. There, Mr. Crittenden created, developed and managed the national securities platform as a professional resource to enable colleagues to provide securities based solutions as a trusted advisor to middle market clients in directed brokerage and transition management, corporate finance and merger and acquisition advisory, pension consulting, executive benefits and retail securities. Mr. Crittenden began his career developing and implementing securities sales divisions within several D.C. area financial institutions including Citizens Bank of Maryland and Riggs National Bank.

Mr. Crittenden is a graduate of the NASD/Wharton Institute where he was awarded the designation of certified regulatory and compliance professional. In addition, he holds the National Association of Securities Dealers’ general securities representative (series 7), general securities principal (series 24) and the uniform state securities law representative (series 63) licenses. Mr. Crittenden graduated from the University of Maryland’s Robert H. Smith School of Business with a B.S. in business management.