Heidi McLemore

Heidi McLemore has extensive experience in compliance and regulatory roles in the finance industry. Heidi is currently working as the VP, Equity Capital Markets Supervisory Manager at D.A. Davidson Companies since 2022. Prior to this, they held the position of Vice President - Equity Capital Markets & Global Investment Banking Compliance Supervisor at Baird from 2012 to 2022. In this role, they led equity capital markets compliance efforts, monitored regulatory developments and trends, and assisted with regulatory inquiries, examinations, and audits. Before Baird, they worked as a Compliance Analyst at UMB Fund Services from 2000 to 2012. In this role, they reviewed mutual fund marketing materials, filed marketing materials with FINRA, and assisted with the development of department policies and procedures.

Heidi McLemore completed their Master of Business Administration (MBA) degree from Carroll University from 2015 to 2017. The specific field of study is not mentioned. Their previous education history or any degrees obtained before their MBA are not provided. Additionally, Heidi McLemore holds several certifications from FINRA, including Series 6, 7, 24, 26, 52, 53, 66, and 79. The details regarding the time of obtaining these certifications are not specified.