Meet your Executive Team

Regina is President & Chief Executive Officer of PEAK Reps, LLC, and a partner in the ownership group. She leads the strategic vision for the firm, which encompasses its independent broker-dealer, registered investment adviser and insurance support organization. For the greater part of her 30 years in our industry, Regina has consistently advocated on behalf of advisors and the clients they serve, demonstrating her commitment to high level, personal service, and she inspires her team to do the same. With her deep history in the financial services industry and a tremendous amount of respect for what it takes to deliver the right advisor experience, Regina is passionate about building true partnerships with advisors and helping them grow their businesses. An essential part of her role is setting the tone for the organization, and she believes that remaining actively engaged with advisors, focus groups and industry partners, with open-minded dialogue and mutual respect, allows a means to gauge perceptions, as well as identify opportunities and areas of improvement, and to resolve issues quickly. She genuinely enjoys motivating, investing in and empowering others, in part by helping them see how meaningful their contributions are to the greater good.

Launching his career in accounting and tax for traders and firms on multiple securities and commodities exchanges, Matt’s experience spans over two decades. Matt has been a key architect for numerous national financial service businesses including HighTower, US Fiduciary and Sanctuary Wealth. Working in roles that range from Chief Operating and Compliance Officer to President of multiple broker/dealers and RIAs, Matt has deep experience in the industry. Matt graduated Robert Morris with a BBA – Accounting and attended Loyola University Graduate School and the University of Pennsylvania (Wharton) Executive program. Specific areas of expertise: operational integration, regulatory compliance, risk management, acquisition and integration, technology deployment, financial reporting and new product development.

Chris has over 30 years of industry experience working within the financial securities industry, focusing primarily on the independent advisor channel. He was most recently the Co-Head of Operations for Atria Wealth Solutions. He was responsible for overseeing the New Accounts, Dealer Maintenance, Commissions and Transitions departments for their network of six broker/dealers. In this role he was the business owner of the enterprise-wide implementation and integration of the commissions and new accounts opening systems. He was also a member of many enterprise-wide committees such as rep review, products and advisory product review. He partnered closely with advisors through several implementations for feedback and testing to ensure smooth transitions. Prior to joining Atria, Chris was the Chief Operations Officer for NEXT Financial Group, Inc. In this role, he was responsible for the oversight of all the operational departments, the Information Technology Department and Home Office Principals.

David’s tenure in the financial services industry spans over three decades. He spent his early years in IT working with The Legend Group, an entrepreneurial independent broker dealer. As a critical member of the firm’s initial team, he was the system architect, instrumental in designing and developing Business Applications to support the companies’ proprietary critical business infrastructure. As the firm grew, David and his team enhanced the system, expanding reporting capabilities and interfaces, improving data feeds and functionality, and developing documentation, training and support for business users and cross-functional teams. Through a series of firm acquisitions, David has been exposed to a myriad of systems, protocols and best practices. He actively worked with intercompany teams to ensure smooth transitions and as little disruption as possible for the advisors he served. David has managed teams of program developers, system administrators and tech support, and leads with the end-goal in mind – designing efficient, intuitive support systems for both advisors and home office teams.

Phil has been in and around the financial services industry for 40+ years, starting his career directly out of college in the Finance department with Rotan Mosle, Inc. (later to become UBS PaineWebber) in Houston Texas. He was most recently the Vice President – Chief Financial Officer of NEXT Financial Group, Inc. since March 2015, where he planned, managed and directed the operation and developed the finance function including payroll, financial planning, financial reporting and interpretation, tax, accounting and financial controls, asset management, insurance accounts payable and receivable, and the general ledger. Prior to becoming the CFO, Phil was the Vice President – Assistant Chief Financial Officer of NEXT for eight years. Prior to NEXT, Phil worked with MetLife as a Senior Business Consultant / Operations Manager, Advantage Capital Corporation / Financial Service Corporation as a Vice President – Administration Senior Accountant, Houston Title Company as a Vice President – Commercial Portfolio Manager and Administrative Coordinator and Steward Title Company as an Commercial Account Manager.