Our Team

 

 

 

 

 

 

Christopher E. Gaye
President
C.E. Gaye Securities, LTD. 

Christopher E. Gaye is the General Securities Principal, Financial and Operations Principal, and Municipals Principal. He has held financial executive positions with Alexander's, Mercantile Stores and One-Price Clothing.

In the securities industry he was associated with American Express Advisors and PFS Investments, a part of Citigroup. He graduated from the University of Southern Alabama, and has done graduate work at UCLA and Hofstra University in Management and Accounting. 


Jaci Spann
Empowerment Training Coordinator
Prospera Financial Services
Jaci has been in the financial services industry for over 20 years. Her background as a sales assistant offers her a great perspective to her role in operations. 

Jaci's passion is people and building trusting relationships that wil last a lifetime. She holds the Series 99.
 

Ed Kern
Chief Financial Officer
Prospera Financial Services
Ed's responsibilities include overseeing the day to day financial operations of the firm, managing financial reporting and developing efficiencies in the firm's financial systems.

Ed earned his Marster of Science in accountancy at DePaul University and holds the Series 27. 
 

Shawn Baxter
Chief Compliance Officer
Prospera Financial Services
In his role, Shawn stays up-to-date on the rules of regulatory agencies and ensures company policies and procedures are adhered to, regularly reviewed, and updated as needed. Shawn is also the firm’s designated Anti-Money Laundering (‘AML’) Compliance Officer. This role is dedicated to overseeing the day-to-day operations and internal controls of the firm’s AML Compliance Program.

Shawn has worked in the financial services industry as a compliance professional for over 20 years, most recently serving as Compliance Director at Avantax Wealth Management. He has also previously served in various compliance and trading roles at 1st Global and Fidelity Investments. Shawn holds his Series 7, 24, 53, 63, and 66 licenses, as well as the Certified Anti-Money Laundering Specialist (CAMS) and Investment Adviser Certified Compliance Professional (IACCP) designations.