Vicki Munnerlyn Lawson
Compliance Officer, Compliance Consultant, Registered Representative at Silver Oak Securities, Inc.- Claim this Profile
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Bio
Laura Meek
Vicki is a very experienced compliance professional in the RIA/BD environment. She has a solid understanding of business practices in relation to compliance requirements. She has a proven track record in this field and is highly respected by her business associates as well as regulators.
Laura Meek
Vicki is a very experienced compliance professional in the RIA/BD environment. She has a solid understanding of business practices in relation to compliance requirements. She has a proven track record in this field and is highly respected by her business associates as well as regulators.
Laura Meek
Vicki is a very experienced compliance professional in the RIA/BD environment. She has a solid understanding of business practices in relation to compliance requirements. She has a proven track record in this field and is highly respected by her business associates as well as regulators.
Laura Meek
Vicki is a very experienced compliance professional in the RIA/BD environment. She has a solid understanding of business practices in relation to compliance requirements. She has a proven track record in this field and is highly respected by her business associates as well as regulators.
Credentials
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Certified Regulatory Compliance Professional
Wharton Executive Education -
Series 24: General Securities Principal
FINRA -
Series 3: Natural Commodity Futures (Previously held)
National Futures Association -
Series 53: Municipal Securities Principal
FINRA -
Series 55: Limited Representative - Equity Trader
FINRA -
Series 63: Uniform Securities Agent State Law
FINRA -
Series 7: General Securities Representative
FINRA -
Series 99: Operations Professional
FINRA -
Tennessee Department of Insurance - Life & Variable Contracts
State of Tennessee
Experience
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Silver Oak Securities, Inc.
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United States
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Financial Services
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1 - 100 Employee
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Compliance Officer, Compliance Consultant, Registered Representative
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Aug 2014 - Present
Served as Compliance Officer until September 2021, serve as a Compliance Consultant for SOSI, a dually registered retail independent contractor broker-dealer and registered investment advisor. Served as Compliance Officer until September 2021, serve as a Compliance Consultant for SOSI, a dually registered retail independent contractor broker-dealer and registered investment advisor.
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Senior Compliance Consultant, Managing Member, Certified Regulatory Compliance Professional
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Jun 2008 - Present
Founded SRC in June 2008 as an independent compliance consulting firm involved in providing a full range of services to broker-dealers, investment advisers, hedge funds, family offices, trust companies and other entities. Accomplished, self-motivated individual with over twenty years of experience in the securities industry. Founded SRC in June 2008 as an independent compliance consulting firm involved in providing a full range of services to broker-dealers, investment advisers, hedge funds, family offices, trust companies and other entities. Accomplished, self-motivated individual with over twenty years of experience in the securities industry.
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President & Chief Compliance Officer
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Jan 2010 - Aug 2012
Served as President, Chief Compliance Officer and AML Compliance Officer of CST, an institutional broker-dealer. Responsibilities included oversight of the firm and regulatory compliance related matters. Joined Commerce Square Trading's holding company, CSG Holdings, LLC in 2008 as an outside compliance consultant and assumed the position of President and Chief Compliance Officer of CST in 2010. Tenure concluded in August 2012 when the entity was sold. Served as President, Chief Compliance Officer and AML Compliance Officer of CST, an institutional broker-dealer. Responsibilities included oversight of the firm and regulatory compliance related matters. Joined Commerce Square Trading's holding company, CSG Holdings, LLC in 2008 as an outside compliance consultant and assumed the position of President and Chief Compliance Officer of CST in 2010. Tenure concluded in August 2012 when the entity was sold.
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FTN Financial Securities Corp.
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United States
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Investment Banking
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Senior Vice President, Chief Compliance Officer
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May 2001 - Feb 2008
Responsibilities included oversight of regulatory compliance as related to institutional fixed income broker-dealer. Responsibilities included oversight of regulatory compliance as related to institutional fixed income broker-dealer.
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Education
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The University of Memphis
Bachelor of Business Administration - BBA, Finance -
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The Wharton School
CRCP, The FINRA Institute at Wharton, Certified Regulatory & Compliance Professional
Community
