IA Compliance & Consulting LLC

“Working with you to meet your investment advisor compliance needs.”

About Us



Suzette Surman - President  and Managing Member
 

Suzette's duties include the registration of new investment advisor firms with the U.S. Securities and Exchange Commission and with all 50 states. In addition, she provides compliance advice related to federal and state regulations.

She develops written supervisory policies and procedures and codes of ethics to comply with the investment advisors business plan, preparation of the Form ADV Part 1 and new Form ADV Part 2, reviews advertising and sales literature, and conducts compliance training for investment advisors. She performs on-site books and records examinations.

Suzette is an experienced compliance consultant. Her experience in the securities industry started with a world-wide brokerage firm where she worked in operations for many years.  She has worked with a large money manager firm.  She began her consulting career with a major consulting firm in their investment advisor department and managed staff in assisting firms in various aspects of compliance for over ten years.    

 

 

Karen Haggerty - Vice President and Member

Karen's duties include Investment Advisor Registration on the SEC and State levels, Web IARD/CRD Administration, Form ADV documents and related schedules, registration and licensing of representatives, Compliance Procedures, Business Continuity Plans, operational issues, and recordkeeping issues. She works closely with IACC's annual compliance clients where she assists and consults regarding their ongoing compliance needs.

Karen is an experienced compliance consultant. Her background includes working for a large compliance consultant and her focus was in the Investment Advisory Division. She worked with over one hundred investment advisory firms on multiple issues such as registration for firms and representatives, Web IARD/CRD filings, Form ADV documents, compliance manuals, business continuity plans, regulatory exams, audits, and various operational issues. She has over 15 years experience in the compliance industry. Prior to working as a compliance consultant, she worked in the financial industry
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