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Robert Slomin

Robert Slomin

Vice Pres., Chief Compliance Officer

Robert P. Slomin serves as Vice President and Chief Compliance Officer (“CCO”) for Private Portfolio Partners LLC (“PPP”) and Gladstone Institutional Advisors LLC (“GIA”), separate entities and registered investment adviser hybrids of LPL Financial.  He has over 18 years of registered broker-dealer and investment advisor regulatory and compliance experience including providing strategic guidance to private client group and professional asset management leaders regarding Securities Exchange Act of 1934 (“34-Act”) and Investment Advisers Act of 1940 (“Advisers Act”) regulations and policy making issues. Mr. Slomin specializes in supporting firms' business initiatives, building and developing compliance programs, managing teams and preserving and enhancing reputations with regulatory agencies.
 
Prior to joining PPP and GIA in 2017, Mr. Slomin served in a number of leadership positions including CCO for Summit Equities Inc. and Vice President, CCO for Janney Capital Management LLC.  

Mr. Slomin earned a J.D. from Northwestern California University School of Law, B.S. from the University of Arizona and Excelsior College and a Certificate in Industrial and Labor Relations from Cornell University. He is securities registered Series 4, 6, 7, 14, 24, 53, 63, 79, 99 with LPL Financial and series 65 registered with PPP and GIA and is life and health insurance licensed. He is a member of the Securities Industry Financial Markets Association (SIFMA) Compliance and Legal Society, National Society of Compliance Professionals (NSCP), registered with Thomson Reuters Expert Witness Services and has served on a number of financial industry committees and working groups.