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  Carrie Wisniewski, President
Carrie Wisniewski, President

Carrie Wisniewski has over 30 years of securities industry experience and has earned her MBA degree in Finance from Mercer University as well as the Certified Financial Planner™, Certified Regulatory Compliance Professional™ and Certified Securities Compliance Professional™ designations. She also maintains several FINRA licenses; Series 4, 7, 24, 27, 28, 53, 63 & 79. She is currently a member of the FINRA’s District 7 Committee and a board member of The National Association of Independent Broker/Dealers.


Carrie started her financial services career as a retail broker in the mid-80s. From there she moved on to become a Senior Compliance Examiner for the NASD (n/k/a FINRA), where she earned several awards for outstanding achievements. She has served over the last 17 years as chief compliance officer and/or financial & operations principal for numerous clients. Carrie owns SEC Compliance Associates, Inc., B/D Compliance Associates, Inc., Bridge Capital Associates, Inc. and Headstrong Properties, LLC. Carrie continues to offer clients the industry expertise she has gained from training and experience.

 
 
Virginia Voos,
Senior Consultant
 

Ginny’s career in the securities industry started as Operations Manager for an Atlanta-based hedge fund. She was instrumental in helping the management of the fund to form a new broker dealer to service trading for the hedge fund.  Ginny then served as the broker/dealer’s chief compliance office and chief operating officer until 2007.


Ginny works with clients on special ad hoc projects, new RIA registrations and independent mock SEC-style compliance reviews.

 

 
 
Tiffany Messenger,
Registration & Licensing Manager
 

Tiffany began her career in broker dealer registration and licensing in 2001.  Her experience ranges from the review of representatives’ licensing and notification of regulatory requirements to project management for new FINRA membership applications.  She has been with B/D Compliance Associates, Inc. since 2004 and assisted in the start-up of Bridge Capital Associates, Inc., where she also serves as the Registration & Licensing Manager.