United States
After spending nine years in retail branches within the financial services industry, I transitioned to the corporate side to broaden my impact and continue growing my career. That move allowed me to bring real, hands‑on field experience into roles focused on supervision, risk oversight, and business execution. I previously served as a Supervisory Control Manager – VP, supporting Products, Advice & Strategies and Complex Products, with a strong focus on the options and alternative investment space. In this highly visible role, I led teams responsible for enhanced supervision and higher‑risk reviews, partnered closely with Legal and Compliance, supported FA‑directed platforms, responded to FINRA inquiries, applied Regulation Best Interest standards, and strengthened controls around complex and discretionary trading activity. This experience sharpened my judgment, attention to detail, and appreciation for thoughtful, risk‑based oversight. Earlier in my corporate career, I supported supervision efforts across the Western and Metro Northeast regions, traveling frequently to build relationships with the field and reviewing advisors’ books of business to help identify and mitigate potential risks for clients, advisors, and the firm. Today, I’m a Lead Business Execution Consultant within Wealth & Investment Management, focused on regulatory and continuing education initiatives, particularly FINRA and IAR Continuing Education (CE). I partner closely with compliance, legal, learning, and business teams to turn regulatory requirements into learning solutions that are practical, scalable, and aligned to the needs of the field. As my career has evolved, I’ve intentionally leaned into IAR CE as a core area of expertise, taking on greater ownership of planning, delivery strategy, vendor partnerships, internal credit alignment, and communications. I enjoy being close to the details while also helping shape approaches that can adapt as regulations and business needs change. I’m outgoing, goal‑oriented, and always eager to learn. I enjoy stepping outside my comfort zone, building strong partnerships, and being someone others can rely on when navigating complex regulatory and learning initiatives. FINRA Registered: Series 4, 7, 9, 10, 63, 66 Insurance Licensed: Life, Health, and Annuities
Lead Business Execution Consultant in Wealth & Investment Management with a focus on FINRA and IAR Continuing Education. I partner across compliance, learning, and business teams to plan and deliver CE programs that meet regulatory requirements while remaining practical for the field. Over time, I’ve continued to deepen my expertise in IAR CE, taking on greater responsibility in strategy, delivery planning, and execution as this space evolves.
- Manage two teams responsible for conducting enhanced higher risk reviews of Complex Products and Strategies related to the product platform and discretionary FA Directed platform for PCG, WBS, and FiNet - Serve on the FA Directed Performance Committee - Thorough understanding and application of Regulation Best Interest in the alternative investment space ensuring investor guidelines are addressed • -Leverage business knowledge and analytics to initiate and prepare reports to field in an effort to decrease risk exposure • - Control Ownership in the RCSA Program where new controls and procedures are developed (Large option order pre-approval, ROP sign off on new option agreements Levels 5&6, Option Exposure) • - Coordinate with internal audit and testing and validation to ensure procedures meet standards • - Work closely with legal pertaining to FINRA inquiries • - Spearheaded efficiency initiatives to reduce the overlap for multiple option processes • - Gather trending analysis on Financial Advisors for various reasons: Early MLI liquidations, failure to obtain large option pre-approval, new option account rejections, etc. • -Analyze KRI (Key Risk Indicators) in an effort examine high risk market items and take action
- Responsible for the Western and Metro-Northeast regions of PCG -Conduct annual risk orientation and pre-audit branch reviews (Pre Quality Control Reviews) -Conduct follow-up reviews with branch offices after the issuance of internal audit or compliance examination report to evaluate and/or assist in the resolutions of findings -Prepares summary reports indicating the status of any findings and plans for corrective actions. -Assist branch offices in resolution of open audit issues where appropriate. -A vital Point of Contact to team-members in the field for compliance and supervision related inquiries -Supports the PCG regions in the ongoing monitoring of branch office conformity with internal policies, applicable laws and regulations. -Coach and train field associates while onsite. Wells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC
-Provide excellent customer service in a professional manner for all aspects of account maintenance: account activity, pull history when necessary, trading, etc.. -Execute trades for customers requested via walk-in and over the phone -Accept customers checks and stock certificates