127 Main Street
Lilburn, Ga. 30047
Ph: 770-923-9632
Fax: 770-923-9760
Hours of Operation: 9am-5pm Monday - Friday, ET
   
 
 
  Ready for an Honest, Award-Winning Approach?

 
     
 

Carrie Wiesniewski
Carrie Wisniewski, President/Founder

Certified Fraud Examiner Logo


Our goal is to provide an unsurpassed level of customer service by tailoring services to meet the specific needs of the individual client.

Testimonials


B/D Compliance Associates, Inc. (BDCA) provides broker/dealer FINRA and SEC compliance consulting to both existing and start-up operations. The firm was formed in 1994 by Carrie Wisniewski, a former FINRA Senior Examiner. The associates of our firm all have practical broker/dealer experience, and some also have direct regulatory experience.

Our goal is to provide an unsurpassed level of customer service by tailoring services to meet the specific needs of the individual client.

Carrie Wisniewski has 30+ years of securities industry experience and has earned her MBA degree in Finance and holds numerous industry designations including Certified Fraud Examiner, Certified Financial Crimes Specialist, Certified Regulatory Compliance ProfessionalTM, Certified Securities Compliance ProfessionalTM and Certified Financial PlannerTM. She also maintains several FINRA licenses including the 4, 7, 24, 27, 28, 53, 63, 79 and 99.

Carrie's career accomplishments include employment as a registered representative and also as a member of the Compliance Department of Merrill Lynch. She was formerly employed by the Atlanta District Office of FINRA as a Senior Compliance Examiner, where she earned several awards for outstanding achievements. Carrie was recently elected to serve a 2nd term on the FINRA District 7 Committee. She is currently a member of the Forensic Expert Witness Association and the National Society of Compliance Professionals, where she is also a member of the Broker-Dealer Forum.

Carrie has served as President of B/D Compliance Associates, Inc. for the last 21 years, where she offers her clients the industry expertise she has gained from training and experience.

Download Carrie's résumé (PDF)


Virginia Voos
Ginny Voos,
VP/Consultative Services
Certified Fraud Examiner Logo

 

Virginia Voos is Senior Compliance Consultant B/D Compliance Associates, Inc. She maintains her FINRA Series 7, 24, 28, 79, 99 and 63 registrations. Ms. Voos holds numerous designations including Certified Fraud Examiner, Certified Financial Crimes Specialist and Certified Securities Compliance ProfessionalTM.

Ginny's career in the securities industry started in 2001 as Operations Manager for an Atlanta based Hedge Fund. She was instrumental in forming a new broker dealer to service trading for the hedge fund and worked as CCO and COO for the affiliated broker/dealer under 2007. Through her role at B/D Compliance Associates, Ginny serves as Compliance Officer and FINOP for several small firms.

Ginny's compliance expertise includes trading, variable products, mutual funds, sales practices, financial books and records, back office operations and anti-money laundering. She works with our clients on special ad hoc projects, new FINRA b/d applications and independent compliance and AML audits.

Tiffany Messenger
Tiffany Messenger,
Chief Administrative Officer

 

Tiffany Messenger has several years of experience in registration and licensing broker dealers and the representatives there under. She previously oversaw all registration and licensing for Thomas Group in Atlanta, Ga. Tiffany has been with B/D Compliance Associates, Inc. since January 2004. In addition to registration and licensing for several firms on an ongoing basis, Tiffany is also the project manager for new FINRA membership applications.


Bart Wisniewski,
Executive Assistant
   
 
     
 

         
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