Tracy Wiswall

Tracy Wiswall has extensive experience in compliance roles within the financial services industry, currently serving as Lead - Central Gardens at Nextdoor.com since 2013 in a volunteer administrator capacity. Previously, Tracy held the position of Chief Compliance Officer at Cabot Lodge Securities from March 2022 to December 2022, and served as Sr. Compliance Officer at Newbridge Securities Corporation for a brief period in late 2021. From September 2011 to October 2021, Tracy worked as SVP - Sr. Compliance Officer at B. Riley Wealth Management, focusing on project-oriented compliance consulting across departments. Earlier experience includes serving as SVP - Chief Compliance Officer at Wunderlich Securities, Inc. from April 2004 to September 2011, overseeing compliance for a FINRA and SEC registered broker-dealer and investment advisor, and as Senior Compliance Examiner at FINRA from January 1999 to January 2004, conducting routine examinations of member firms. Tracy holds a Bachelor of Business Administration in Management from Southeastern Louisiana University, completed in 1997, and attended Loyola University New Orleans in 1993.