Barbara Devine, CCO
Chief Compliance Officer
Series 66 – Uniform Combined State Law Examination
SIE – Securities Industry Essentials Examination
Series 7 – General Securities Representative Examination
Series 52 – Municipal Securities Representative Examination
Barb has over 30 years of experience in the operational aspects of the securities and investment industry. She has helped serve the needs of individual investors, large institutional traders, and investment bankers. Having worked with a variety of securities, Barbara has become familiar with numerous financial products and the regulatory issues associated with them.
Barbara is detail oriented and experienced in government reporting, compliance, and assisting clients with complex issues surrounding their investment portfolio.
Barbara grew up in New York and is the third generation to work in the securities industry, since her grandfather began trading on Wall Street in the 1930’s.