Shanth David, CAMS, CAS

Director of Operations and Regulatory Principal

Shanth David is the director of the Regulatory Principal, Surveillance, Cashiering and Document Services departments at 1st Global, where he oversees the daily operations of the teams under his leadership. He joined the company in 2004 and previously served in various roles in the Client Services and Regulatory Principal departments, as a trader, and as both a consultant and director in the Compliance department. In his current role, he strives to provide an environment of extraordinary internal and external service, develop leaders, and serve all clients of the firm with a practical and efficient framework of the rules that govern the industry.

Shanth received his Bachelor of Science degree in economics from the University of Wisconsin—Madison and entered the financial services industry because of his interest in economics, banking and finance. His experience as an intern at Morgan Stanley during the market crash and his time at Smith Barney during the Sept. 11 attacks altered his perspective, and he realized that he wanted to add value to clients’ lives in ways outside of the scope of being an advisor. He also has additional industry experience as a vice president and administrative manager at Merrill Lynch Wealth Management, as a manager of sales supervision at Prospera Financial, and as a senior compliance officer at Williams Financial Group. He has passed his FINRA Series 4, 7, 9, 10, 24, 31, 53 and 66 exams and is a Certified Anti-Money Laundering Specialist (CAMS) as well as a Certified Annuity Specialist (CAS).