Carrie Wisniewski has 30+ years of securities industry experience and has earned her MBA degree in Finance. She holds numerous industry designations including Certified Fraud Examiner, Certified Financial Crimes Specialist, Certified Regulatory Compliance ProfessionalTM, Certified Securities Compliance ProfessionalTM and Certified Financial PlannerTM. She also maintains several FINRA licenses including the 4, 7, 24, 27, 28, 53, 63, 79 and 99.
Carrie's career accomplishments include employment as a registered representative and as a member of the Compliance Department of Merrill Lynch. She was formerly employed by the Atlanta District Office of FINRA as a Senior Compliance Examiner, where she earned several awards for outstanding achievements. Carrie was recently elected to serve a 2nd term on the FINRA District 7 Committee. She is currently a member of the Forensic Expert Witness Association and the National Society of Compliance Professionals, where she is also a member of the Broker-Dealer Forum.
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Virginia Voos is a Senior Vice President and Compliance Consultant at B/D Compliance Associates, Inc. She maintains her FINRA Series 7, 24, 28, 79, 99 and 63 registrations. Ms. Voos holds numerous designations including Certified Fraud Examiner, Certified Financial Crimes Specialist and Certified Securities Compliance ProfessionalTM.
Ginny's career in the securities industry started in 2001 as Operations Manager for an Atlanta-based Hedge Fund. She was instrumental in forming a new broker/dealer to service trading for the hedge fund and worked as CCO and COO for the affiliated broker/dealer until 2007. Through her role at B/D Compliance Associates, Ginny serves as Compliance Officer and FINOP for several small firms.
Ginny's compliance expertise includes trading, variable products, mutual funds, sales practices, financial books and records, back office operations and anti-money laundering. She works with our clients on special ad hoc projects, new B/D, and RIA applications, supervisory procedures and independent compliance and AML audit.
Cynthia Bush is a Consultant for B/D Compliance Associates, Inc. Cynthia's career in the securities industry started in 1996 as a Sales Assistant at Merrill Lynch. She entered the management training program at Merrill Lynch and has worked as a Service Manager, Controls Manager and Assistant Operations Manager at various brokerage firms in the industry.
Cynthia is a securities compliance professional with broad-based experience in supervision of Registered Representatives and Investment Advisor Representatives, OSJ audits, maintaining broker dealer records, and correspondence review. She possesses outstanding interpersonal, analytical and organizational skills.
Cynthia’s compliance expertise includes equities trading, variable products, mutual funds, sales practices and back office operations. She maintains her FINRA Series 4, 7, 24, 53 and 63 registrations.
Tiffany Messenger has over fifteen years of experience in registration and licensing broker/dealers, registered investment advisors and the associated representatives. She previously oversaw all registration and licensing for Thomas Group in Atlanta, Ga. Tiffany has been with B/D Compliance Associates, Inc. since January 2004. In addition to registration and licensing for several firms on an ongoing basis, Tiffany is also the project manager for new broker/dealer and RIA membership applications.