Nikki Trudell
Compliance Specialist at Annex Wealth Management- Claim this Profile
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Bio
Experience
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Annex Wealth Management
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United States
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Investment Management
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100 - 200 Employee
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Compliance Specialist
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Dec 2021 - Present
Elm Grove, Wisconsin, United States As Compliance Specialist, my responsibilities include the continuing development of all aspects of compliance, including regulatory oversight of all Annex Wealth Management® advisors, supervision of accounts and transactions, and compliance with US Securities & Exchange Commission and related securities rules and regulations.
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Customer Service Manager
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Nov 2020 - Dec 2021
Brookfield, Wisconsin, United States Primary liaison at the Brookfield Branch location for our clients, custodian and the CPA firms we interact with. Assist clients with their questions, schedule meetings, and perform account updates as necessary for our client accounts.
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Client Service Specialist
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Mar 2019 - Nov 2020
Brookfield, WI Primary liaison for our clients, custodian and the CPA firms we interact with. Assist clients with their questions, schedule meetings, and perform account updates as necessary for our client accounts.
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Medical Billing Manager
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Sep 2007 - Feb 2019
Brookfield Wisconsin
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Education
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1987 - 1991
Mount Mary University
Bachelor of Applied Science (B.A.Sc.), Early Childhood Education and Teaching
Community
