Ernest comes to us by way of Foundations Investment Advisors LLC, a Registered Investment Advisory Firm we are partnering with. As General Counsel and Chief Compliance Officer, Ernest J. C’DeBaca (Ernie) assists the firm with all legal and compliance issues, focusing on the various federal and state laws and related rules governing investment advisers and the insurance industry. Active as an in-house counsel and compliance officer since 2000, he has extensive expertise in all areas of regulatory compliance and aids clients in preparation for regulatory examinations and the preparation of compliance policies and procedures. He enjoys the challenges of working on the developing side of financial services because of Foundation’s phenomenal growth pattern and the integrity at the core of the firm.
Ernest received his bachelor’s degree from the University of New Mexico and an MBA in finance from Webster University. From the University of New Mexico School of Law, he earned his Juris Doctor degree, and from Georgetown University Law Center he earned his LL.M. (Master of Laws) in securities. Ernie also holds both the Certified Financial Planner® (CFP®) and Chartered Financial Consultant® (ChFC®) designations. He began his legal career focusing on tax law and estate planning and has served as an attorney for the U.S. Securities and Exchange Commission.
Away from the office, he is actively involved with several local non-profit organizations, including the church he attends with his wife and three children, and his homeowners’ association. Whenever possible, he remains optimistic about trying to improve his golf game.
