| Compliance
Professionals |
Position
|
Extension |
| Baulch,
Linda |
Senior
Associate - Investment Advisor Division |
129 |
| Blattel,
Debbie |
Insurance Licensing Specialist I |
137 |
Burton, Mary |
Staff Assistant - Broker Dealer |
123 |
| Cain, Susan |
Staff Assistant - Broker Dealer |
178 |
| Curl, Lilson |
Staff Assistant - Broker Dealer |
155 |
| Damron, Cynthia |
HR
Administrator
|
136 |
| Haggerty,
Karen |
Senior
Associate - Investment Advisor Division |
163 |
| Hairgrove, Christine |
Insurance Licensing Clerk |
156 |
| Hathaway, Susan |
Staff Assistant - Broker Dealer |
177 |
| Hebert, Mike |
Senior Associate - Broker Dealer |
166 |
| Himes, David |
Associate
General Counsel |
173 |
| Hosein,
Debra |
Insurance Licensing Specialist II |
169 |
| Johnson,
Kristy |
Client Financial Senior Associate - Broker Dealer |
111 |
| Kravetz, Beth |
Executive
Vice President - Insurance Licensing |
112 |
| LeGaye,
Dan |
General
Counsel & EVP |
101 |
| LeGaye,
Danny |
Staff
Assistant - Quality Assurance |
117 |
| LeGaye,
David |
Staff
Assistant - Quality Assurance |
172 |
| LeGaye,
Melinda |
President
& CEO |
105 |
| Nunn,
Richard |
Vice President - Regulatory Affairs |
118 |
| Patten,
Deirdre |
Executive
Vice President - Business Development |
175 |
| Pierce,
Jan |
Quality
Assurance - Executive Department |
130 |
| Rast,
Shannon |
Associate - Broker Dealer Division |
103 |
Sanchez, Maria |
Insurance Licensing Specialist I |
114 |
| Schaps,
Debra M. |
Vice
President - Broker Dealer Administration |
107 |
| Schaps,
Michael |
Vice
President - Broker Dealer Division |
116 |
Scott, Dawn |
Insurance Licensing Specialist I |
122 |
| Sepulveda,
Jaime M. |
Chief
Financial Officer |
151 |
| Sorrells,
Curtis |
Vice
President - Regulatory Affairs |
127 |
| Surman,
Suzette |
Vice
President - Investment Advisor Division |
109 |
| Administrative
Staff |
Position
|
Extension |
| Bailey,
Jim |
Access
/ SQL Development |
124 |
| Beyeler,
Michael |
Vice President, Marketing |
140 |
| Campbell,
Julie |
Executive
Assistant |
152 |
| Dominik, Marena |
Regulatory Financials Clerk |
157 |
|
Farrell, Ilse |
Professional Development Specialist |
120 |
| Hampton, Chrissy |
Billings and Collections |
133 |
| Hawkins, Angela |
Licensing and Deposits |
132 |
| Holley,
Aaron |
IT Staff Assistant |
126 |
| Jenkins, Elaine |
Receptionist/Administrative Assistant |
100 |
| Maloney, Lauren |
HR Assistant |
104 |
| Russ,
Robert |
Controller |
128 |
| Roberson,
Donna |
Assistant Controller |
168 |
| Rushing,
Sissy |
Sr.
Administration Clerk |
113 |
| Ryan,
Judy |
Vice President, Business Development |
115 |
| Sheranko,
Amanda |
File
Clerk |
134 |
Tompkins, Danielle |
Accounts Payable |
167 |
| Walker,
Rhandi |
Administration
Clerk |
161 |
| Williams,
Dottie |
Receptionist |
100 |
|