Experience

NewEdge Advisors

• United States
• Financial Services
• 1 - 100 Employee

• Compliance Analyst

  • Aug 2021 - Present

  My job as a compliance analyst has many responsibilities in making sure our processes are in compliance with our regulators. Some of my responsibilities include Creating ADV2Bs for our advisors, registration responsibilities, and working in our data bases and testing our processes. Some of the systems I work in and maintain include; Schwab Data Delivery, Fidelity's Wealthscape, Raymond James Advisor Access, Orion Compliance (formerly BasisCode), Orion Advisors, RedTail, LPL Client Works, Smarsh, Protegent, and FINRA's WebCRD. I am also responsible for Mutual Fund Conversions, Quarterly Transactions Reports, and Brokerage to SWM II Conversions. Show less

• Compliance Analyst

  • Aug 2021 - Present

  At NewEdge Advisors, we do things a little differently. We are building a partnership of established advisors to make independence easier, more fun, and ultimately more successful. We don’t teach advisors how to be successful, we partner with those who already are.Our partnership was founded to give each of our individual practices a better way to serve our clients and to manage time and expenses more effectively than we could on our own. With 121 advisors, and servicing $9.8+ billion in Brokerage and Advisory assets*, we take pride in a firm built by advisors, for advisors. Show less



B. Riley Wealth Management (Formerly Wunderlich Securities, Inc.)

• Registration Specialist

  • Sep 2009 - Aug 2021

  • Maintain electronic record keeping systems for the Compliance department. • Manage Form BR, NRF, U4 and U5. • Respond to inquiries and requests from regulatory organizations and states. • Interact with other departments during internal and external audits. • Monitor the regulatory element of the FINRA mandated continuing education program. • Responsible for all details related to the securities registrations of the firm and associated individuals. • Manage the on-boarding process for registered representatives. • Work in conjunction with HR to review background check, credit reports, and securities registrations for prospective employees. • Ensures that individuals timely complete Continuing Education (CE) requirements in order to avoid lapses. • Serves as liaison to employees to answer registration and licensing questions. • Ensure fingerprints are submitted in a timely manner. • Communicate with registered representatives their registration status after U4 has been submitted to FINRA. • Communicate with FINRA when registered representatives have pending or deficient registration status. • Systems: Outlook, Word. Excel, RegEd, Global Relay, FINRA WebCRD, Compliance 11, E.Draw, Lexis Diligence, B.I.G, Equifax, Ultipro Show less



Omni Visions, Inc

• United States
• Strategic Management Services
• 1 - 100 Employee

• Administratvie Assistant

  • Jan 2000 - Sep 2009

  Omni Visions, Inc. is a Private Therapeutic Foster Care agency. We place children who are in state custody into loving homes. Responsible for thorough background checks, assisting social workers and regional director with administrative duties, and helping foster parents with their needs. Omni Visions, Inc. is a Private Therapeutic Foster Care agency. We place children who are in state custody into loving homes. Responsible for thorough background checks, assisting social workers and regional director with administrative duties, and helping foster parents with their needs.



Household Engineer

• China

• Household Manager

  • Oct 1991 - Sep 1999

  Stay-at-home Mom for my 2 children. Stay-at-home Mom for my 2 children.



Marriott International

• United States
• Hospitality
• 700 & Above Employee

• Marriott Hotels

  • Jun 1985 - Oct 1990

  Hostess, Server, Bartender, Restaurant Supervisor Hostess, Server, Bartender, Restaurant Supervisor



Lollipop Dragon PreSchool

• Preschool Teacher

  • Aug 1982 - Sep 1985

  Preschool Teacher Preschool Teacher