Chief Compliance Officer
As its Chief Compliance Officer, Denise oversees compliance responsibilities for Stonnington Group’s broker-dealer and registered investment advisor activities .
Denise has been in the financial services industry for over 20 years; serving all of those years in either a regulatory or compliance & legal capacity. She began her career in the securities industry in the Los Angeles District office of FINRA; working there for over 6 years, first as a senior investigator conducting regulatory investigations of complex sales practices matters, and subsequently as a supervisor of a sales practices investigative unit. While at FINRA, she served as FINRA’s representative on a local Joint Regulatory Task force comprised of federal and local law enforcement agencies. She also served on several FINRA national task forces that developed procedures, training materials and tutoring programs for FINRA’s examining staff.
She subsequently left FINRA to serve as chief compliance officer and general counsel for a regional full service independent contractor broker dealer and investment advisory firms, and, prior to joining Stonnington Group, for a boutique investment banking broker dealer firm; handling each firm’s compliance, regulatory and legal programs. She has given presentations on the topics of anti-money laundering, broker-dealer regulation and securities law at local industry conferences and law school symposiums.
Denise holds a B.A. degree in Political Science from Wellesley College, and a J.D. Degree from UCLA School of Law. She also holds the following securities licenses: Series, 7, 24, 53, 65, 79 and 99.