Chief Compliance Officer
This industry is always changing, especially the regulatory environment. I love that every day is fast-paced and challenging. As Chief Compliance Officer for Sequoia Financial Advisors, LLC, our SEC Registered Investment Advisor, I help to ensure that our professionals are meeting regulatory requirements while complying with the internal policies and procedures of the firm, so they can serve our clients effectively. In the scope of coordinating all compliance functions for the firm, I also focus on ways to enhance and streamline the process of complying with our various regulatory requirements. Additionally, I participate on Sequoia’s investment committee, which reviews investment performance and strategies for the firm.
Professional Accreditations/Education
- Maintains the Series 7, 24, 79 and 63 FINRA registrations through SFI Investments, LLC, Sequoia’s affiliated FINRA-registered Broker/Dealer; maintains the Series 65 FINRA registration through Sequoia Financial Advisors, LLC
- Cleveland State University, M.B.A. with a specialization in marketing
- Bowling Green State University, B.S. in business administration with a specialization in finance
Up Close
- Previously spent three years at FINRA, formerly NASD, completing her tenure as a Senior Compliance Examiner; served as Vice President/Compliance Manager with NatCity Investments, Inc., the FINRA-registered Broker/Dealer and SEC Registered Investment Advisor for National City Corporation, Inc.
- Involved with the American Cancer Society, American Diabetes Association and Junior Diabetes Research Foundation
- Enjoys spending time with family and friends
- Lives in North Olmsted
- Joined Sequoia in 2008