Staci brings over 20 years of management and supervision experience to TownSquare Capital, an investment advisor firm offering an independent, turn-key asset management platform.
Staci began her financial services career in 1997 in a local branch for PaineWebber. She gained experience with securities transactions, client service, and other related operational functions for broker-dealers. Previously, she was the Chief Compliance Officer for a hybrid SEC registered Investment Advisor, and FINRA registered Broker-Dealer. She has years of experience increasing efficiency through process improvements related to compliance and operations. Her experience enables her to evaluate potential risks and gaps, and propose solutions that are both efficient and compliant with regulatory requirements.
Staci prides herself on her ability to meet and exceed goals through teamwork and individual drive. She has developed an expertise in creating, implementing and executing compliance programs, risk assessments, training, and monitoring programs for broker-dealers and registered investment advisers.
Staci holds the Series 24, 7, 63, 66 and 53 securities registrations along with successfully earning the Certified Regulatory Compliance Professional (CRCP) designation.