Stephen Berkeley
Chief Compliance Officer and Regulatory Counsel @ Loop Capital
About Stephen Berkeley
Stephen Berkeley is the Chief Compliance Officer and Regulatory Counsel at Loop Capital, with extensive experience in securities regulation and compliance.
Known information
Stephen Berkeley serves as the Chief Compliance Officer and Regulatory Counsel at Loop Capital, a role he has held since joining the firm in 2008. He earned his Juris Doctor degree from Chicago-Kent College of Law and holds a Bachelor’s degree from Hamilton College. Berkeley is a licensed attorney in both Illinois and Arizona and possesses a comprehensive set of securities licenses, including Series 7, 24, 53, 63, 79, and 87. His career began as an enforcement attorney with the Securities Division of the Arizona Corporation Commission, followed by nine years in private legal practice. During this time, he represented broker-dealers and investment advisors in arbitrations, regulatory investigations, and general compliance matters. Additionally, Berkeley contributes to the financial regulatory community as a member of the FINRA Midwest Regional Committee.
About Loop Capital
Loop Capital is a financial services firm specializing in asset management, investment banking, and public finance, known for its focus on diversity and inclusion.