Debra DeVoe

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Debra DeVoe

Senior Vice President, Chief Compliance Officer

Ms. DeVoe is responsible for overseeing regulatory compliance for the organization.  She has over 20 years of experience working for both registered investment advisers(RIA) and broker-dealers with a focus on the overall reduction of financial, regulatory, legal, and technology risk within financial services.  Her activities include, among others, general RIA compliance with all laws, rules and regulations, due diligence of new products and acquisition targets, advice and guidance in structuring of new products, compliance strategy, services, and relationships.

Prior to joining the firm, DeVoe served as Chief Compliance Officer and Senior Vice President for SEC, FINRA and London-based regulated businesses at SunGard, a global, fortune 500 firm. In this role, DeVoe was able to successfully blend the ability to interpret complex and ever evolving global regulations and laws with financial services experience in compliance, sales, and training. 

DeVoe holds a B.S., magna cum laude from the University of Wisconsin as well as Series 6, 63, 7, 66, 24, 53, and 99 registrations in the U.S. and the Level 3 - Certificate in Investments examination in the U.K.  She is also in the final phase of completing the FINRA/Wharton Business School Certified Regulatory and Compliance Professional (CRCP) Program.