Stacy is the Chief Compliance Officer of Catalyst Private Wealth. As a compliance professional, she collaborates with the Catalyst team to preserve a culture of compliance and advise us of our regulatory responsibilities. She previously held the Series 7, 9, 10, 24 and 79 when she was associated with a broker-dealer and currently maintains her 63, and 66 and is licensed to provide investment advisory services.
Stacy has over 20 years of experience in the financial industry; 12 of which are in the field of compliance. She has worked with broker-dealers, investment advisors, and hybrids of the two at CitiGroup Smith Barney, D.A. Davidson, and M Securities. Her strong background in compliance, regulatory audits and her passion for organization is a tremendous asset to tru.
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