Staci Fall Email & Phone Number

Staci Fall is a Registered Principal of Equity Services, Inc., Member FINRA/SIPC, One National Life Drive, Montpelier, VT 05604, (800) 344-7437. National Life Group(R) is a trade name of National Life Insurance Company (NLIC), and its affiliates. Equity Services, Inc. is affiliated with the National Life Group companies. TC122674(0821)P

Staci Fall is a Registered Principal of Equity Services, Inc., Member FINRA/SIPC, One National Life Drive, Montpelier, VT 05604, (800) 344-7437. National Life Group(R) is a trade name of National Life Insurance Company (NLIC), and its affiliates. Equity Services, Inc. is affiliated with the National Life Group companies. TC122674(0821)P

Staci Fall is a Registered Principal of Equity Services, Inc., Member FINRA/SIPC, One National Life Drive, Montpelier, VT 05604, (800) 344-7437. National Life Group(R) is a trade name of National Life Insurance Company (NLIC), and its affiliates. Equity Services, Inc. is affiliated with the National Life Group companies. TC122674(0821)P

2 Morrissey Blvd, Dorchester, Ma 02125

2 Morrissey Blvd, Dorchester, Ma 02125

Salem, Nh

Waltham, Nh

• Responsible for the hiring, training, development, and management of Commonwealth’s nine-person Advertising Review team (in Waltham, MA and San Diego, CA locations), meeting the objectives of the team on behalf of Commonwealth’s B/D and RIA, and in accordance with regulatory requirements• Dedicated to the success of the Advertising Review team, Commonwealth, and its 1,650+ producing advisors• Responsible for strategy, vision, efficiencies, and improvements for the team, while managing risk to the firm• Led the initiative on the firm’s decision to allow business-related social media profiles/pages for advisors• Created policy for the ongoing regulatory oversight and moving parts regarding social media to ensure compliance• Participated in multiple FINRA, SEC, and state regulatory exams and sweeps• Responsible for educating and disciplining advisors for non-compliance with rules and firm policies• Addressed and facilitated solutions for escalated issues with advisors, as well as with staff • Responsible for the team’s turnaround times being met and the quality/consistency of reviews (over 26,000 submissions reviewed in 2015)• Created and/or revised communications with the public manuals, policies, and procedures• Facilitated collaborative and productive relationships amongst the team, the Compliance department as a whole, colleagues within the firm, and advisors’ offices, to ensure indispensable service is being provided• Lead liaison with other Commonwealth departments to discuss and support new innovations, technology, products, and services, while ensuring regulatory compliance• Presented at Commonwealth’s annual National Conference on firm element eligible topics, as well as at the firm’s Road Show conferences, and Advanced Topics Symposiums• Authored several advertising- and social media-related articles for the firm’s internal/advisor magazine, Commonwealth Business Review (CBR)

Waltham, Massachusetts

• Team development, training, coaching, and identifying and communicating efficiencies such as workflow management, monitoring the advertising queues, ensuring established deadlines were met, and being a resource to the team and others within the firm• Reviewed, edited, and approved retail/institutional communications, including seminars, websites, social media pages/profiles, advertisements, stationery, etc. for over 1,200 advisors to ensure compliance with regulatory standards

Waltham, Massachusetts

• Reviewed, edited, and approved retail/institutional communications, including seminars, websites, social media pages/profiles, advertisements, stationery, etc. for over 1,200 advisors to ensure compliance with regulatory standards

Concord, New Hampshire

• Responsible for the review of advertising and sales literature for the field force and internal departments to ensure compliance with NASD, SEC, state, and other regulatory standards• Maintained the development of advertising and continuing education systems, including monthly reports to senior management and notification to field force of continuing education requirements

Concord, New Hampshire

• Executed mutual fund, equity, options, and fixed income transactions in accordance with NASD, SEC, MSRB, and OCC regulations and firm guidelines• Provided premier-level service in fast-paced, high-volume environment