Experienced professionals assisting broker-dealer and registered investment adviser clients with membership applications, regulatory issues and inquiries, and compliance.
Experienced professionals assisting broker-dealer and registered investment adviser clients with membership applications, regulatory issues and inquiries, and compliance.
Colleen is looking forward to connecting with industry peers, clients, and potential clients at upcoming events.
With over 30 years of sterling expertise in the securities industry, Colleen made significant contributions throughout her impressive tenure at the Financial Industry Regulatory Authority (FINRA), where she diligently led Examination and Risk Monitoring teams for 22 years.