Stephen Berkeley serves as Chief Compliance Officer and Regulatory Counsel for Loop Capital and its affiliated entities.
Prior to joining Loop Capital in 2008, Mr. Berkeley spent 9 years in private legal practice representing broker-dealers and investment advisors in arbitrations, regulatory investigations and on general compliance matters. Mr. Berkeley started his career as an enforcement attorney with the Securities Division of the Arizona Corporation Commission where he investigated and prosecuted securities enforcement actions against broker-dealers and investment advisors.
He is a licensed attorney in Illinois and Arizona and holds 7, 24, 53, 63, 79 and 87 licenses and currently serves on the FINRA Midwest Regional Committee. Mr. Berkeley earned his Juris Doctorate from Chicago-Kent College of Law and earned a Bachelors of Arts from Hamilton College.