Annette Calveri

Ms. Calveri holds Series 4, 7, 24, 27 and 53 licenses. Her experience includes serving as Vice President, Compliance Officer, Assistant Compliance Officer and Assistant Secretary for a national brokerage firm, and as Chief Compliance Officer, Chief financial Officer and Executive Vice President for a regional firm. Her duties in these positions included conducting routine branch audits; customer complaint reporting and resolution; customer relations and correspondence; initial public offering supervision; new account approval; order ticket review/approval; broker and trading department supervision; account and mutual fund review; resolution of blue sky issues; business, state, foreign and FINRA registrations, including Forms U-4, U-5, BD and ADV filings, as well as investment adviser registrations; FOCUS filings; exchange/SRO applications; continuing education, firm element plan and regulatory element system implementation; and maintaining company financial and corporate minutes.