Ken Madsen

Chief Compliance Officer
(480) 778.2000

Scottsdale Office
Kierland Corporate Center
7047 E. Greenway Pkwy., Suite 350
Scottsdale, AZ 85254
(800) 687-3800  |  (480) 951-0079

Mr. Madsen has over 30 years of experience in senior level positions at financial services firms including as Chief Compliance Officer, Chief Operations Officer, and Regulatory Affairs and Risk Management Officer. Additionally, he was a member of management committees over large and mid-sized broker/dealers, investment advisers, and an insurance firm. He served on numerous regulatory committees and is well respected in the regulatory community. Mr. Madsen has been an arbitrator for FINRA for many years.

Mr. Madsen is the owner of Expert Securities Support LLC, which provides litigation support and expert witness testimony for securities-related arbitrations and court proceedings. Past roles include Chief Compliance Officer for Simply Money Advisors, Chief Compliance Officer and Chief Operations Officer for W&S Brokerage Services, head compliance officer for Western & Southern Life, Chief Compliance Officer for Capital Analysts, Regulatory Affairs and Risk Management Officer for Ameriprise and the Chief Compliance Officer for H&R Block Financial Advisors. For most of his career, he was the primary regulatory contact and was responsible for all regulatory exams, investigations, and inquiries.

Mr. Madsen obtained a Bachelor of Arts degree with a major in economics from the University of Michigan in Ann Arbor, Michigan.

Ken is happily married to his wife, Katie and has two sons, one daughter and a stepdaughter. In his spare time, he enjoys watching college football and basketball, investing, fishing, gardening, and spending time with his family.

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