SVP, OSJ Manager
1301 A Street, Suite 800
Tacoma, WA 98402
As the program’s OSJ Manager, Carolyn is directly responsible for ensuring that the licensed staff comply with the firm’s outlined policies and procedures as well as interpreting and enforcing securities rules and regulations. She also coordinates the Office of Supervisory Jurisdiction (OSJ) along with overseeing certain financial institution regulatory guidelines regarding the sale of non-deposit investment products.
With over 30 years in the financial service industry, Carolyn has a strong knowledge of the brokerage industry and broker-dealer operations as a Registered Principal. Carolyn previously worked on the trading floor at Seafirst Bank (Bank of America) and was the Branch Operation’s Manager at McDonald Investments in Tacoma, WA.
Check the background of this investment professional on FINRA’s BrokerCheck at http://brokercheck.finra.org.