Securities Expert (SEC-1699)

- Hard To Find Expertise Across The United States

View This Experts Background Information And Qualifications. View / Request Their Full CV -

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


Quick Request An Expert Witness

Request An Expert Witness Anywhere In The United States

1. Your Info
2. Your Expert
3. Success √

This helps us prevent spam, thank you.


Find Highly Credentialed Expert Witnesses Across All Disciplines, Industries, And Locations. Connecting Law Firms With Qualified Expert Witnesses Since 1987.


ID: 6230
Published: February 3, 2019
Views: 83
The Right Expert
Right Away!
1945 Palo Verde Ave, Suite #200 Long Beach, CA 90815


Expert Witness Directory
We Have An Extensive Expert Witness Database With Nationwide Coverage

Call Support:



1945 Palo Verde Ave, Suite #200 Long Beach, CA 90815
Sectigo SSL
© 2022 - All Rights Reserved. Website Powered By Beta Apps