Laurel

Laurel Resendez

Director of RIA Compliance
LResendez@TheBrainTrust.net
770-353-6358

Laurel works on keeping the Advisory firm and Advisors compliant with SEC Rules and Regulations. She spends time researching current requirements and trends, then establishes procedures and processes from cybersecurity to registrations. In addition, Laurel fields questions from Advisor offices and helps them understand the reasoning behind the requirements and practical ways to handle the regulatory environment.

Laurel has been in the financial services industry for over 25 years and joined IFG in 2017. She has worked for a consulting firm, multiple broker-dealers and investment advisory firms. Laurel lives in Woodstock and has three adult children. Whenever possible, she drags her friends or family to hike, eat out, or visit all things art, music and theatre.

AREAS OF EXPERTISE

  • SEC Rules and Regulations
  • Compliance and registration
  • Advisor support
  • Policies and Procedures

EDUCATION/CERTIFICATION

  • BA. Economics & Business Administration, Augustana College, IL