Suzette Surman

Suzette provides compliance advice related to federal and state regulations.  


She gives advice on supervisory policies, procedures and code of  ethics to comply with the investment advisors business plan as well as the review of advertising and sales literature. 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

Karen performs 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 performs on-site books and records examinations.  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 17 years experience in the  compliance industry. Prior to working as a compliance consultant, she  worked in the financial industry.