At Advanced Advisors Group, I review suitability and products, check that clients receive advisor disclosures, and guide advisors on Reg BI, PTE-2020, FINRA, SEC regulations, and procedures in WSPs.
At FINRA’s Office of Exams, contracted with Randstad, I identified exceptions and findings and conducted and memorialized discovery and risk reviews. My training covered net capital computations, crypto and ethereum products, Reg BI, suitability, risk review, outside business activities, and private securities transactions.
Earlier, I audited branches at Modern Woodmen Financial Services and Advisor Group, reviewing practices against WSPs and FINRA, SEC, and OCC guidelines. I also managed a project that gave the department a daily view of regulatory and product changes, standard operating procedures, and servicing levels.
