SEC-1699 is the founder of a consulting firm that has served the financial services industry since 1989. She provides support in securities regulation and compliance, practice management, and marketing to NASD broker/dealers and registered investment advisors. Her industry experience dates back to 1978, when she was an investment executive (stockbroker) for Paine Webber and E.F. Hutton. In 1983 she entered the compliance side of the industry, becoming a compliance officer for Century Pacific (member NASD). There she organized and managed the compliance department and researched NASD and SEC rules and regulations. In 1987 she became a vice president of securities/compliance with Shipley/Hoffman Associates (Registered Investment Advisor).


Santa Rosa Junior College, AA degree, Business/Retail Management

Cal Lutheran University, Business Administration/Marketing

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