ASCHCO - Key Persons
Job Titles:
- Managing Director
- Member of the Leadership Team
Charlie Morten brings over 40 years of experience in the securities industry including senior management positions in the United States and London. This experience included responsibility for operational and regulatory compliance across regulatory and legal borders worldwide.
Charlie spent over 28 years at Merrill Lynch ultimately managing the operational support for the firm's International Private Client Group which entailed oversight of over 1500 global employees and a budget of $65 million. He had operational responsibility for successfully integrating Merrill Lynch's global acquisitions in Japan, Canada and the UK.
Job Titles:
- Chief Executive Officer
- Founder
- Member of the Leadership Team
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.
Job Titles:
- Member of the Leadership Team
- Advisory Board Chairman and Independent Consultant