Jeanne Rockman has been the President of Regulatory Consulting Services, LLC since February 2015. Prior to that, Jeanne held the position of Chief Compliance Officer at Livingston Securities, LLC and was a Partner at Sutton Advisory Services from January 2008 to March 2015. Jeanne provides compliance consulting services to financial services companies and offers consulting services in business management, compliance, and operational matters.
February, 2008 - present
Chief Compliance Officer at Dakota Wealth Management
Chief Compliance Officer at Twelve Points Wealth Management
Chief Compliance Officer at WCG Clinical
Chief Compliance Officer at Pearl
Chief Compliance Officer at YFM Equity Partners