Andrew Wels, J.D.
Regulatory Counsel
Andrew Wels is a veteran of the securities industry with more than 30 years of experience as a regulatory attorney and compliance officer. Providing practical regulatory advice, Andrew regularly helps clients develop effective compliance programs, prepare for routine regulatory examinations, and respond to complex investigations. Andrew’s experience across asset classes for investment advisers and broker-dealers provides a unique perspective to help clients navigate the confusing and frequently overlapping regulatory requirements for investment advisers and broker-dealers.
Andrew has provided legal and regulatory guidance for the development of several successful financial service firms, including the high net worth investment advisory programs for clients of JPMorgan Chase, the Dreyfus Division of BNY Mellon, and TD Ameritrade.
Prior to starting his own law firm Andrew served as Assistant General Counsel and Director of Compliance at Cantor Fitzgerald / BGC where he oversaw all legal, regulatory and compliance matters – and helped guide business development for the firm’s trading, brokerage and asset management businesses.
His experience includes almost every asset class including swaps, foreign exchange, life settlements and futures (including movie futures), as well as matters involving trading, clearing and settlement. Andrew launched his career in the public sector working for the National Association of Securities Dealers and the U.S. Securities and Exchange Commission. A graduate of the Wharton School, Mr. Wels has a B.S. in Economics and Finance as well as a J.D. from Boston University School of Law.