Veronica Conn, Compliance Manager
Veronica has been with the firm for more than seven years. As the Compliance Manager, her responsibilities include managing registrations, customer complaints, outside business activity review, administering the Annual Compliance Questionnaires, and design and implementation of the Firm Element Continuing Education program. Veronica plays a key role in our efforts to revise our procedures and improve processes so that they are more reasonable, effective, and efficient. Her background in customer service enables her to work with advisors through any challenges that may occur.
Veronica has passed the Series 7, 24, and 66 exams. She earned a B.B.A. in Risk Management and Insurance from Robinson College of Business at Georgia State University.