Virginia “Ginny” Voos joined the firm in August 2018 and currently serves as Senior Consultant. Ginny provides compliance consulting to broker dealer clients. She has been working in the Financial Services Industry since 2001 serving as Chief Compliance Officer, Financial and Operations Principal and consultant for several focused firms. Ms. Voos’ compliance experience includes private placements, mergers & acquisitions, trading, mutual funds, variable annuities, sales practices, back office operations, anti-money laundering, firm element training, FINRA exams, 3110/3120 testing and preparation of written policies and procedures. She currently holds her Series 7, 24, 28, 63, 79 and 99. Ms. Voos is also a Certified Fraud Examiner, Certified Regulatory Compliance Professional®, Certified Financial Crimes Specialist and Certified Securities Compliance Professional™.
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