Carrie Wisniewski has 35+ years of securities industry experience and has earned her MBA degree in Finance and holds numerous industry designations including Certified Fraud Examiner, Certified Financial Crimes Specialist, Certified Regulatory Compliance ProfessionalTM and Certified Securities Compliance ProfessionalTM. 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 also 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 3rd term on the FINRA South Region Committee. She is currently a member of the Forensic Expert Witness Association and the National Society of Compliance Professionals, where she served on the Small Broker/Dealer Forum.
Carrie has served as President of B/D Compliance Associates, Inc. for the last 25 years, where she offers her clients the industry expertise she has gained from training and experience.
Tiffany Messenger is an Operations Professional with Bridge Capital Associates, Inc. and serves as the Chief Administrative Officer. She has over 15 years of experience in registration and licensing broker/dealers and the representatives there under. She previously oversaw all registration and licensing for Thomas Group in Atlanta, Ga. Tiffany has been with Bridge Capital Associates, Inc. since inception. She manages all registration and licensing issues for the company and its independent contractors
Mark Oswald has more than 32 years of securities industry experience and has served as the Chief Compliance Officer for national broker/dealers and Registered Investment Advisors. He has attained FINRA qualifications including the Series 7, 8 (9 & 10), 24, 63, and 65.
Marks career accomplishments include overseeing the growth and supervisory structure of a startup SEC registered investment advisor that now manages in excess of $4B in client assets, serving as the Chief Compliance Officer of broker/dealers in the National Planning Holding Company group, guiding the broker/dealer compliance of the Principal Financial Group, and acting as the Vice President of Compliance for a NYSE member firm.
Mark also serves as an expert witness in FINRA dispute resolution matters, civil cases between investors and financial services companies, and criminal matters. Mark provides guidance and support to other registrants based on the expertise he has gain over his decades of experience.
Bart Wisniewski is a Compliance Officer with Bridge Capital Associates, Inc. He earned a Master of Arts in German Language at the University of Georgia before pivoting to the securities industry.
Bart holds a Series 63 license and is currently working to obtain Series 82 and 24 licenses. He also holds a C1 in German as per the CEFR guidelines.