Andrew T. Mount

Andrew's practice is grounded in a straightforward principle: helping clients cut through regulatory complexity to make practical, well-reasoned business decisions with confidence. He advises broker-dealers, investment advisers, bank fiduciaries, and pooled investment vehicles on compliance with federal and state securities laws, including the rules and regulations of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). His regulatory advisory work extends to the forefront of industry evolution, counseling clients on emerging asset classes such as alternative investments and digital assets, cutting-edge technologies such as artificial intelligence, and the sophisticated regulatory frameworks that govern these innovations. In particular, Andrew has become a trusted resource for clients navigating the regulatory dimensions of AI adoption, assisting them in developing governance frameworks, assessing recordkeeping obligations, evaluating disclosure requirements, and ensuring that AI-driven tools and strategies are deployed in a manner consistent with applicable law.

Andrew has also developed particular expertise working with FINRA's MAP Group, guiding new broker-dealers through the New Member Application (NMA) process and steering existing broker-dealers through the Change in Member Application (CMA) process. He understands that these applications represent critical inflection points for firms — and that getting them right requires not only regulatory fluency, but a thorough understanding of a firm's business model, operations, and long-term strategic goals.

Prior to joining Eversheds Sutherland, Andrew was an associate in the securities litigation and regulatory practice of a national law firm, where he represented clients in FINRA arbitrations and regulatory matters involving claims of fraud, misrepresentation, and unsuitability. That litigation foundation distinctly shapes his approach to regulatory advisory work today — bringing a sharper, more adversarial awareness to compliance counseling, anticipating how disputes arise, and helping clients identify and address vulnerabilities before they escalate. Andrew's clients benefit from counsel who understands not just the rules, but how those rules are tested and applied when the stakes are highest. While attending law school, he interned in the chambers of the Honorable Berle M. Schiller of the U.S. District Court for the Eastern District of Pennsylvania.

Andrew is deeply committed to his clients' long-term success, delivering tailored, end-to-end advisory solutions designed to keep them competitive and ahead of the regulatory curve. He is a regular speaker on regulatory and compliance topics affecting broker-dealers and investment advisers, engaging with industry audiences on the evolving challenges and developments that shape the financial services landscape. He is also actively involved in the firm's pro bono efforts, working on matters for Kids in Need of Defense (KIND), where he represents individuals and families navigating the immigration system, including asylum applications and proceedings before Immigration and Customs Enforcement.