Carol has been a part of the Allen & Company team for 20 years.
A former Trader for a nationally recognized broker dealer, Carol serves as Vice President and Chief Compliance Officer. She is responsible for day-to-day senior leadership of our compliance efforts for the retail brokerage and investment advisory.
With more than 30 years of industry experience, Carol serves on the Executive Committee at Allen & Company, the Advisory Board of the Florida Security Dealer’s Association and is a member of the Security Industry and Financial Markets Association and the National Society of Compliance Professionals. She holds her Series 7, 24, 4, 53, 55, 99 and 66 securities licenses, and earned the Certified Regulatory and Compliance Professional designation from FINRA’s Institute at the Wharton School of Finance.
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