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Andrew S. Klick, Founder, Principal Consultant, and Managing Member at Benchmark Compliance, brings over 35 years of experience to the investment advisory and broker-dealer sectors. His extensive knowledge of securities regulations enables him to provide practical compliance solutions to a diverse range of firms, with a primary focus on investment advisers.

At Benchmark Compliance, Andrew leads the investment adviser practice, offering comprehensive services including guiding firms through registration processes, developing custom compliance programs, assisting with regulatory examinations, and providing ongoing compliance support.

Before founding Benchmark Compliance, Andrew held senior positions at established compliance consulting firms, advising Chief Compliance Officers of numerous institutional and retail investment advisers and broker-dealers. He has also served as Chief Compliance Officer for various firms, enhancing his practical understanding of compliance challenges.

A University of Maryland graduate with a B.S. in Finance, Andrew holds Series 7, 14, and 24 registrations and formerly held the Certified Financial Planner (CFP) designation. His extensive practical experience, deep regulatory knowledge, and adaptability to industry changes make him a trusted resource for firms navigating the complex landscape of securities regulations and compliance requirements.

Nicole Leb, Partner and Principal Consultant at Benchmark Compliance, brings nearly two decades of comprehensive financial services industry experience. As a seasoned compliance expert, Nicole excels in developing, managing, and enhancing compliance, surveillance, supervision, and operations programs for various financial institutions. Her expertise spans brokerage firms, registered investment advisors, banks, and trust companies of all sizes.

Nicole's career highlights include successfully navigating regulatory examinations conducted by FINRA, SEC, FDIC, and state regulators. She leverages her years of experience as a Chief Compliance Officer and former Chief Operating Officer to provide clients with practical, tailored solutions. With exceptional precision and skill, Nicole leads the brokerage practice and testing and mock examinations team, applying her expertise to benefit all her clients. Nicole holds multiple industry registrations, including Series 7, 14, 24, 99, and 53, as well as Life Accident and Health Insurance Licenses.

As a member of leading regulatory committees, Nicole stays at the forefront of industry developments, ensuring her clients receive cutting-edge compliance guidance. Her multifaceted experience and insider knowledge make her an invaluable asset to firms seeking to transform their compliance approach into a competitive advantage.

Peggy Fox brings over 30 years of invaluable experience to her role as Benchmark's licensing and registration manager. As a seasoned professional in the financial industry, Peggy expertly manages the Investment Adviser Registration Depository (IARD) for all of Benchmark's clients. Her extensive expertise covers a wide range of areas, including supporting investment advisers registered with the SEC, state regulatory authorities, and insurance agents.

With a strong background in registration support for broker-dealers, investment advisors, and insurance agency firms, Peggy excels in navigating complex regulatory landscapes. Her skills encompass FINRA and SEC registrations, form filings, assistance with audit preparation, and ebill and flex account monitoring. Peggy's proficiency extends to life insurance licensing and appointments.

Known for her excellent communication skills and ability to interact effectively with all levels of management, Peggy serves as a vital liaison between firms and regulators. Her strong problem-solving abilities, coupled with her capacity to work both independently and collaboratively, make her an indispensable asset to Benchmark's team and clients alike.