Bernadette Parrish Email & Phone Number

Results oriented Financial Services professional with solid experience in Registered Investment Advisor (RIA) firm management including: compliance, HR, marketing, technology, and vendor management cultivated through strategic thinking and hands on experience. Specific focus areas include: professional and employee insurances, employee relations, social media and electronic communication oversight, HR generalist responsibilities and strong working relationships with legal, securities regulatory agencies, broker-dealer, custodian, technical operational support and physical plant agencies, third party marketing consultantsFinancial compliance experience in: insurance licensing and financial registration requirements for firm and registered representativesAccomplishments:• Led transfer of three existing broker books and seven member team from wire house to independent boutique RIA and successfully completed audit by broker-dealer • Instituted broker-dealer and Investment Advisory Compliance and Enterprise Risk Management compliance program based on SEC and FINRA requirements• Wrote and implemented internal policies and procedures, Business Continuity Plan, registered representative training program, social media policy and strategy guide, and document/record retention programFor important disclosure information, please see "Social Media Disclosure" link in the "Contact Info" section. Securities offered through Raymond James Financial Services, Inc., Member FINRA/SIPC.Investment advisory services offered through Raymond James Financial Services Advisors, Inc.Birch Run Financial is not a registered Broker/Dealer and is independent of Raymond James Financial Services, Inc. Member FINRA/SIPC

Listed skills include Vendor Management, Finra, Strategy, Employee Benefits, and 22 others.