Adam Schaub, CFP®, MBA

Assistant Vice President of Compliance and CCO of 1st Global Capital Corp.

Adam Schaub is the chief compliance officer of 1st Global Capital Corp. and the assistant vice president of compliance at 1st Global, where he is responsible for the overall efforts and strategic vision of the Compliance Department. 

He joined the company in 1999 and previously served roles in the Compliance Department as specialist, senior specialist, director and manager. He enjoys working with his team members to educate advisors, manage risk for various individuals — advisors, clients, and 1st Global and its employees — and work toward making regulatory requirement fulfillment as business-friendly as possible.

Adam received his Bachelor of Science degree in finance from Trinity University and his Master of Business Administration degree from Texas A&M University. It was at A&M that he developed a desire to enter into the financial services industry when he was on a mock investment portfolio management team — he loved being able to analyze stocks and make recommendations on his team’s phantom portfolio. He has passed his FINRA Series 4, 7, 24, 53 and 66 exams.

Certified Financial Planner Board of Standards, Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER ™ and federally registered CFP (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board’s Initial and ongoing certification requirements.