Erik D. Aschenbrenner is the founder and Chief Executive Officer of The ASCHCO Consulting Group. He has been in the securities industry for more than 40 years, and has headed a Compliance, Regulatory, and Risk Management consulting practice for the past 16 years.
Erik began his career as an attorney in the New York Regional Office of the U.S. Securities and Exchange Commission. After 8 years with the SEC, he moved into the private sector where he has been the Director of Investor Services for Integrated Resources, Inc., Associate General Counsel and Chief Compliance Officer for The Equitable Life Assurance Society (now known as AXA Advisors, LLC) and its broker-dealer subsidiaries, Senior Vice President and Director of Compliance for Oppenheimer & Co., Inc. (now known as CIBC World Markets Corp.), Senior Vice President and Corporate Compliance Officer for NationsBank (now known as Bank of America), and Managing Director of Legal, Compliance and Regulatory Affairs for BlueStone Capital Partners/Trade.com Online Securities, Inc., also serving as the Chief Operating Officer of its online trading division.
Erik has also served as an Assistant Director of the NASD (FINRA) District 10 Office in New York City. He has been Vice Chairman of the NASD’s District 10 Business Conduct Committee, a member of the NASD National Market Regulation Committee and Chairman of its Examination Subcommittee. He has served as an NASD arbitrator, has chaired a number of NASD Disciplinary Hearing Panels, and has been a speaker and panel member at a number of industry conferences.
Erik is a graduate of Colgate University and studied law at both The George Washington University National Law Center and St. John’s University School of Law, from which he received his J.D. Degree.