Thomas Hertog
Chief Compliance Officer of FNEX Wealth
Mr. Hertog has over 30 years of experience and leads AIS’s compliance strategy and operations. He co-founded WHI, a compliance consulting firm, in 2008. Prior to WHI, Mr. Hertog served as chief compliance officer of Zacks Investment Management and Zacks & Co. a $6 billion AUM RIA and Broker-Dealer. Mr. Hertog has passed the FINRA examinations for Series 7, 24, 28, 55, 66 & 87. Before that he was a manager with Global Best Practices Arthur Andersen. Earlier in his career he served in the roles of controller, accounting manager and auditor for several privately operated entities. Mr. Hertog received his B.S. degree in Business and Accounting from Edison State University.