top of page

David Strickland

Regulatory Compliance Manager

David Strickland spent almost nine years as a Securities Analyst for the Alabama Securities Commission. His focus with the Commission was the examinations of State Registered Investment Advisors, Broker Dealer Agents, and Money Service Businesses. He has brought that valuable experience to Polaris as a Regulatory Compliance Manager, where he performs mock audits, email reviews and Form ADV reviews, among many other things. David is the proud father of a son (Logan). When he's not working you can find David and his son camping, backpacking, or scuba diving. He is honored and excited to be a new member of the Polaris Team and looks forward to assisting all of our clients with their compliance needs.


Fun Facts:

  • David enjoys camping in a tent on top of his truck

470-412-3859

David Strickland

Contact Us Today at:  (888) 240-4299

All information is always kept confidential

Disclaimer: Polaris Compliance Consulting, LLC is not a law firm, and we do not give any legal advice. As a consulting firm, we give our personal interpretation of the rules and regulations based on our experience, but we cannot guarantee that any areas advised will be favorably viewed by regulators.

bottom of page