Our Consulting
Team
Meet the Red Oak Consulting Team
Our Consulting Team is composed of industry veterans with over 120+ years of collective experience across Registered Investment Advisors (RIAs), broker-dealers (BDs), insurance companies, dealing with FINRA, the SEC, and state regulatory bodies. Our experts deliver the insights and strategies you need, whether you’re seeking tailored support through individual services or comprehensive, ongoing compliance programs. With Red Oak, your regulatory risk is minimized, allowing your firm to achieve compliance with confidence.
15+ Years of Proven Success in Compliance Consulting
Dedicated Compliance Consultant Assigned to Every Client
120+ Years of Combined Industry Expertise
Trusted by Over 1,000 Firms
Cathy Vasilev
Chief Customer Officer and Founder
With more than 25 years in the financial services industry, Cathy Vasilev is a seasoned compliance expert and leader. Since co-founding Red Oak in 2010, Cathy has leveraged her extensive experience across independent broker-dealers, wire-house broker/dealers, and RIAs to provide tailored compliance and technology solutions focused on effective risk management. Her approach combines creativity and flexibility, helping clients navigate complex regulatory landscapes by aligning compliance with strategic business goals rather than simply adhering to restrictions. Under her guidance, clients achieve operational efficiency through compliant pathways that support their unique objectives, whether involving regulatory processes or technology implementations.
Cathy holds a Master’s degree in Business Management and is an active member of the National Society of Compliance Professionals and the Compliance and Anti-Money Laundering (AML) Professionals Association. She has previously held FINRA Series 7, 24, 26, and 63 licenses, as well as Life and Health certifications.
Steven Horn
Senior Consultant and Audit Manager
With nearly a decade at Red Oak Compliance Solutions and over 23 years in financial services compliance, Steven Horn is a trusted Senior Consultant and Audit Manager known for his expertise in regulatory audits and compliance oversight. Steven’s career began at the Texas State Securities Board (TSSB), where he served as a Financial Examiner from 2000 to 2013.
During this time, he conducted more than 300 compliance audits, managed high-profile criminal securities fraud investigations, and gained extensive training through NASAA, FINRA, and SEC conferences. Following his tenure with the TSSB, he led compliance for a Texas-registered investment adviser, further broadening his industry perspective.
Since joining Red Oak in 2015, Steven has played an integral role in supporting clients with comprehensive compliance solutions, from conducting mock audits and compliance reviews to assisting new advisers with registration and documentation setup. His experience enables him to provide Red Oak’s clients with practical, insightful compliance strategies that ensure both regulatory adherence and operational efficiency.
Scotty Franks
Senior Consultant
Scotty Franks has been a Senior Consultant at Red Oak Compliance since 2016, contributing over 10 years of experience in the financial services industry. Before joining Red Oak, Scotty managed a team of 20 at an independent broker-dealer and Registered Investment Adviser (RIA), overseeing brokerage account setup, asset transfers, and account maintenance. His leadership in this role honed his skills in operational efficiency and team coordination within highly regulated environments.
Scotty holds FINRA Series 7 and 24 licenses, equipping him with the regulatory knowledge necessary to provide Red Oak’s clients with reliable and compliant solutions.
Joshua Kelly
Senior Consultant
Joshua Kelly joined Red Oak in 2018. He draws on over a decade of combined experience in legal and compliance roles. His career began as a legal clerk with a prominent law firm, where he supported cases in personal injury, medical malpractice, and bankruptcy law, before transitioning into quality assurance for a Fortune 500 insurance company, where he ensured adherence to state and federal regulations.
At Red Oak, Joshua provides comprehensive registration, compliance, and consulting services to a diverse client base, including both retainer and ad-hoc clients. He plays a crucial role in developing and maintaining compliance programs for investment advisers and broker-dealers, supporting firms from emerging startups to those managing billions in assets. Additionally, he conducts training for Chief Compliance Officers and staff, helping firms stay current with regulatory changes and ensuring that they remain compliant in a dynamic regulatory environment.
Joshua holds a Juris Doctorate from the University of Richmond School of Law and a Bachelor of Arts from the University of Texas at Austin. He has also previously held a FINRA Series 65 license.
Randy Randall
Senior Consultant
With 25 years in the financial services industry, Randy Randall brings a wealth of compliance and operational experience to Red Oak Compliance. Before joining Red Oak, Randy spent eight years as a Compliance Analyst for an independent broker-dealer and RIA, where he managed advertising reviews, supervised electronic communications, conducted branch exams, and served as the firm’s political contributions principal. Randy also developed key policies for implementing website and social media use in securities and advisory businesses, ensuring regulatory compliance in a rapidly evolving digital landscape.
Randy is a former U.S. Marine and holds a degree from St. Edward’s University and maintains FINRA Series 6, 7, 63, 66, 82TO, and 24 licenses.
David Svrcek
Senior Consultant
David Svrcek has been a Senior Consultant with Red Oak Compliance since 2015, leveraging over 15 years of industry expertise to support clients in broker-dealer, RIA, and insurance advertising compliance. His tenure includes more than nine years consulting Red Oak clients on regulatory best practices. Prior to joining Red Oak, David served at an independent broker-dealer and RIA, specializing as an Advertising Review Analyst and a Marketing Reimbursement Principal. He also provided RIA compliance oversight, managing quarterly securities reports, prohibited investments, and non-IAR compensation, and supported regulatory inquiries and investigations.
David maintains a FINRA Series 7, 63, and 24 and has previously held the Series 6 and Texas Group 1 insurance licenses.
Andrew Ho
Senior Consultant
Andrew Ho joined Red Oak Compliance in 2023, bringing nine years of experience in financial services, with a focus on marketing review, broker-dealer operations, and trade supervision. Prior to Red Oak, Andrew developed a strong compliance foundation working with multiple broker-dealers, enhancing his proficiency in regulatory practices and operational efficiency.
At Red Oak, Andrew provides compliance consulting and software services to help clients navigate the complexities of regulatory changes and ensure that they maintain robust, compliant programs in today’s dynamic financial landscape.
Stephanie Adkins
Senior Consultant
Stephanie Adkins has served as a Senior Consultant at Red Oak Compliance since 2015, bringing with her over 11 years of industry experience. She began her career as a New Business Analyst and rose to Manager of Operations and Registered Principal at a large financial services company. Stephanie joined Red Oak as a Senior Compliance Consultant, where she provides invaluable insights and guidance to clients seeking compliance expertise.
Stephanie’s background in operations and compliance management enables her to offer Red Oak clients practical, effective solutions in compliance strategy and program development.
How Can We Support You?
Red Oak’s team of experts is ready to help you overcome your compliance challenges with confidence and precision. Connect with us to explore how we can help safeguard your business while you stay focused on growth.
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