As a Partner at Sherman Group my core focus is on Broker Dealer and Registered Investment Advisor regulation. A results oriented executive and attorney with more than 25 years of experience and expertise in managing broker dealer and investment advisor operations, risk and compliance functions. I now serve as an embedded Securities Compliance Consultant. Proficient at overseeing regulatory compliance of broker-dealer and investment advisor sales practices, supervisory procedures including branch operations, public communications, advertising, sales literature, audit, and insurance sales activities. Creative, motivational team leader with highly developed skills to mentor and empower team members to most effectively and efficiently utilize their ability. Superior communication talents and proven ability to author and deliver policies and procedures to assure compliance with industry regulations. Responds to compliance and regulatory challenges with confidence, determination and focus. A former member of the FINRA Exam Writing Committee.Specialties: •