Debbie Hunt Email and Phone Number

Administer the I-RIA Compliance program and support the Compliance Advertising Department in advertising review.

Assisted with the creation and implementation of the Investment Advisory Department. Wrote instructions for surveillance procedures for Independent Registered Investment Advisors (I-RIA). Conducted surveillance and reviewed accounts and/or reports to detect trading irregularities, suspicious activities and unusual trading patterns. Sent inquires to Investment Advisor Representatives (IARs) that required further investigation. Advised IARs regarding the formation of an I-RIA. Assisted with the development of new surveillance reports and with creating procedures to support surveillance. Answered general investment advisory inquires from IARs via fax, phone and email. Worked directly with the I-RIA Compliance Manager. Assumed additional responsibilities and assisted in sustaining the department in the absence of an I-RIA Manager. Assisted and trained co-workers as needed.

Worked directly with the Manager of Transitions Operations to monitor and oversee the process of appointments and rep changes with the Transitions Department. Responsibilities included mentoring associates, maintaining reports, and assisting NFPSI Registered Reps with variable company appointments and the transfer of directly held securities business.