Chief Executive Officer and Co-Founder
For more than 20 years Debbie was responsible for the firm’s broker-dealer and investment advisor regulatory compliance. She currently continues to serve as the firm’s Chief Compliance Officer for the Investment Advisory division, while transitioning to a role focused more on strategic planning for the firm, recruiting and personal production.
Debbie serves as a resource to the firm’s advisors helping them identify and implement technology and marketing tools to improve their practice, facilitate succession planning, respond to questions regarding specific compliance rules, (whether it be new marketing ideas, answering specific client questions/scenarios) etc. In December, 2018, she passed the American College Retirement Income Certified Professional (“RICP®) program.
Debbie has been actively involved in many industry Committees and Boards. Most recently she served as the Chairperson of the FINRA Small Firm Advisory Board and the FINRA Regulatory Council for Continuing Education in 2011. She participated on the FINRA Social Networking Taskforce and was the Chair for the FINRA Small Firms Rules Impact Taskforce in 2007. She was the Chair for the NASD District 4 Committee in 2005.
Debbie has been a member of the Securities Industry and Financial Markets Association (SIFMA, formerly SIA) since 1997. She currently serves on the SIFMA Private Client Services Executive Committee. She has previously served as Chairperson of their Small Firms Committee in 2003 and 2004. She also served as a Board Member of SIFMA from 2006-2008. She has served as a judge in the SIA “InvestWrite” program, and previously taught “The Stock Market Game” at a local elementary school, where it became a permanent part of their curriculum. Debbie holds the Series 63, 7, 24, 55, 65 and 87 exams, as well as a life and health insurance license.