David Martin is a seasoned financial services executive with over two decades of regulatory, compliance, and operational experience across the securities industry. A registered broker-dealer principal since 2007, David has served in senior leadership roles for multiple FINRA member firms, including as CEO, COO, and Chief Compliance Officer, overseeing investment banking, retail and institutional brokerage, clearing operations, and digital asset initiatives.

David is the CEO and founder of Compliers Consulting Services, a fintech-forward compliance and regulatory consultancy supporting broker-dealers, investment advisors, and financial innovators. He specializes in SEC, FINRA, and state regulatory compliance, including supervisory system design, continuing membership applications, independent inspections, and complex enforcement matters.

As a Partner at Monahan & Roth LLC, David provides expert witness and litigation support, drawing on his deep understand of broker-dealer and RIA compliance, supervision, sales practices, and operations. His testimony and consulting work have informed successful case strategies for respondents in arbitration.

A frequent speaker at FINRA conferences and a Certified Regulatory and Compliance Professional™ (CRCP®) through the FINRA/Wharton School program, David’s leadership reflects a commitment to integrity, innovation, and investor advocacy.

David holds numerous FINRA licenses, including the Series 7, 24, 66, 79, and 99, among others, and is a VFR-licensed pilot. He has served as a Small Firm Representative on FINRA’s District Committee and is widely recognized for his contributions to shaping ethical and effective compliance practices in the evolving financial landscape.