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Corrie Scoby Email & Phone Number

Senior Director, Compliance at Arete Wealth
Location: Oakland, Tennessee, United States 9 work roles 2 schools
1 work email found @aretewealthmanagement.com 3 phones found area 901 LinkedIn matched
✓ Verified Jun 2026 4 data sources Profile completeness 100%

Contact Signals · 1 work email · 3 phones

Work email c****@aretewealthmanagement.com
Direct phone (901) ***-****
LinkedIn Profile matched
3 free lookups remaining · No credit card
Current company
Arete Wealth
Role
Senior Director, Compliance
Location
Oakland, Tennessee, United States
Company size
77 employees

Who is Corrie Scoby? Overview

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Quick answer

Corrie Scoby is listed as Senior Director, Compliance at Arete Wealth, a company with 77 employees, based in Oakland, Tennessee, United States. AeroLeads shows a work email signal at aretewealthmanagement.com, phone signal with area code 901, and a matched LinkedIn profile for Corrie Scoby.

Corrie Scoby previously worked as Compliance Consultant at Comply and Compliance Officer at Arete Wealth. Corrie Scoby holds Bba, Business & Management Information Systems from The University Of Memphis.

Company email context

Email format at Arete Wealth

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{first}.{last}@aretewealthmanagement.com
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AeroLeads found 1 current-domain work email signal for Corrie Scoby. Compare company email patterns before reaching out.

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Profile bio

About Corrie Scoby

At COMPLY, my focus is on ensuring over 120 SEC and State registered investment advisers understand their compliance obligations. My role encompasses a broad spectrum of activities, including policy and procedures review, marketing materials oversight, and regulatory filings guidance. Through this, I also hope to empower clients with knowledge via webinars, harnessing my competencies in compliance regulations.Previously at Arete Wealth, I honed my skills as the Senior Director of Compliance, where I managed internal compliance audit programs and served as a regulatory liaison, among other critical functions. Prior to my work at the broker dealer, I was the Chief Compliance Officer of Financial Resource Management, which was a State of Tennessee registered investment adviser. The expertise I gained from these positions now fuels my mission to integrate compliance with technological advancements, thereby elevating the operational efficiency and effectiveness of the teams and organizations to which I provide advice.

Listed skills include Series 7, Securities, Finra, Financial Services, and 25 others.

Current workplace

Corrie Scoby's current company

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Arete Wealth
Arete Wealth
Senior Director, Compliance
Oakland, TN, US
Website
aretewealthmanagement.com
Employees
77
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Company profile
View company profile Email format
9 roles

Corrie Scoby work experience

A career timeline built from the work history available for this profile.

Compliance Consultant

Current
Comply

An Enhanced Consultant for over 120 individual SEC and State registered RIA firms. I respond to questions related to financial compliance, review Policy and Procedure Manuals to ensure compliance with appropriate jurisdictions, review advertisement/marketing materials, review Regulatory Filings, provide guidance for digital platform use and frequently.

Feb 2024 - Present

Senior Director, Compliance

Arete Wealth

Chicago, Illinois, US

  • Chief Compliance Officer for NFA Managed Futures
  • Municipal Principal
  • Options Principal
  • Audit Program Manager
  • AML Principal
  • Regulatory Liaison
Mar 2021 - Nov 2023

Compliance Officer

Arete Wealth

Chicago, Illinois, US

Registered General Representative (S7) Registered General Principal (S24)Registered Municipal Principal (S52)Registered Options Principal (S4)Registered with the NFA (S31)Registered with SEC (S66)

Feb 2016 - Mar 2021

Branch Manager

Arete Wealth

Chicago, Illinois, US

  • BD Trade Review and Monitoring
  • OBA Monitoring
Dec 2011 - Oct 2019

Chief Compliance Officer

Financial Resource Management
  • Chief Compliance Officer
  • Director of Operations
  • Director of Technology - new software implementation, network upgrades, vendor liason
  • Bookkeeper
Dec 2011 - Oct 2019

Associate Vice President, Compliance Analyst

Morgan Keegan
  • Regional Surveillance Analyst (day to day review of trading activities, monthly analysis of broker activity, monthly over site of annuites)
  • Compliance Registered Options Principal
  • AML background investigations of companies and individuals
  • Organized and maintained the Surveillance Desk Procedures
  • Edited Written Supervisory Procedures
  • Researched and responded to regulatory requests
Sep 2007 - Oct 2010

Assistant Vice President, Compliance Officer

Wunderlich Securities
  • Organization and Implementation of Annual CEO Certification Project (FINRA Rule 3012)
  • Compliance Registered Options Principal
  • Edited, implemented and maintained Written Supervisory Procedures
  • Welcomed new employees to the company and assisting with their individual needs
  • CRD Files for Form BD, Form U-4 and Form U-5
  • Prepared and presented annual compliance meetings
Sep 2004 - Aug 2007

Compliance Specialist

Nbc Capital Markets
  • Learned how to evaluate and assess procedures
  • Reviewed and prepared agreements
  • Assisted with office inspections
  • Wrote procedures to comply with the federal regulations
  • Participated in an arbitration hearing & prepared legal filings
  • Researched and reviewed regulatory requests
Dec 2001 - Sep 2004
Team & coworkers

Colleagues at Arete Wealth

Other employees you can reach at aretewealthmanagement.com. View company contacts for 77 employees →

AL Adrianna Lucas Adrianna Lucas Colleague at Arete WealthChicago, Illinois, United States, United States View → RC Ronan Cox Cima® Cpwa® Ronan Cox Cima® Cpwa® Colleague at Arete WealthNew York, New York, United States, United States View → MD Michael D'Andrea Michael D'Andrea Colleague at Arete WealthNew York City Metropolitan Area, United States View → DD Daniel Diaz, Cfa, Cfp® Daniel Diaz, Cfa, Cfp® Colleague at Arete WealthSan Francisco Bay Area, United States View → JA John Attigliato John Attigliato Colleague at Arete WealthNashville, Tennessee, United States, United States View → BC Ben Carlson, Cltc Ben Carlson, Cltc Colleague at Arete WealthLa Crosse-Onalaska Area, United States View → KJ Kevin Johnston, Cfp® Kevin Johnston, Cfp® Colleague at Arete WealthMemphis Metropolitan Area, United States View → CK Cindy Kuipers Cindy Kuipers Colleague at Arete WealthHolland, Michigan, United States, United States View → BF Brent Franklin Brent Franklin Colleague at Arete WealthNashville, Tennessee, United States, United States View → DM Dan Meehan Dan Meehan Colleague at Arete WealthAlpharetta, Georgia, United States, United States View →
2 education records

Corrie Scoby education

Bba, Business & Management Information Systems

The University Of Memphis

Education record

Battle Ground Academy High School
FAQ

Frequently asked questions about Corrie Scoby

Quick answers generated from the profile data available on this page.

What company does Corrie Scoby work for?

Corrie Scoby works for Arete Wealth.

What is Corrie Scoby's role at Arete Wealth?

Corrie Scoby is listed as Senior Director, Compliance at Arete Wealth.

What is Corrie Scoby's email address?

AeroLeads has found 1 work email signal at @aretewealthmanagement.com for Corrie Scoby at Arete Wealth.

What is Corrie Scoby's phone number?

AeroLeads has found 3 phone signal(s) with area code 901 for Corrie Scoby at Arete Wealth.

Where is Corrie Scoby based?

Corrie Scoby is based in Oakland, Tennessee, United States while working with Arete Wealth.

What companies has Corrie Scoby worked for?

Corrie Scoby has worked for Arete Wealth, Comply, Financial Resource Management, Morgan Keegan, and Wunderlich Securities.

Who are Corrie Scoby's colleagues at Arete Wealth?

Corrie Scoby's colleagues at Arete Wealth include Adrianna Lucas, Ronan Cox Cima® Cpwa®, Michael D'Andrea, Daniel Diaz, Cfa, Cfp®, and John Attigliato.

How can I contact Corrie Scoby?

You can use AeroLeads to view verified contact signals for Corrie Scoby at Arete Wealth, including work email, phone, and LinkedIn data when available.

What schools did Corrie Scoby attend?

Corrie Scoby holds Bba, Business & Management Information Systems from The University Of Memphis.

What skills is Corrie Scoby known for?

Corrie Scoby is listed with skills including Series 7, Securities, Finra, Financial Services, Investments, Management, Mutual Funds, and Securities Regulation.

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