Caroline Wisniewski

Caroline Wisniewski

Caroline “Carrie” Wisniewski is a Bates Group expert and consultant with extensive expertise in compliance, fraud, and financial crimes. Ms. Wisniewski, a former NASD Senior Examiner (n/k/a FINRA) and currently a small b/d owner and compliance consultant, has over 34 years of securities industry experience and has earned her MBA degree in Finance. She holds numerous industry designations including Certified Fraud Examiner, Certified Financial Crimes Specialist, Certified Regulatory Compliance Professional™, Certified Securities Compliance Professional® and Certified Financial Planner™. She also maintains several FINRA licenses including the 4, 7, 24, 27, 28, 53, 63, 79 and 99 and is qualified as an Industry Arbitrator and Chairperson for FINRA Dispute Resolution.

Ms. Wisniewski’s securities career accomplishments include employment as a broker and also as a member of the Compliance Department of Merrill Lynch. She was formerly employed by the Atlanta District Office of FINRA as a Senior Compliance Examiner, where she earned awards for outstanding achievements.  She recently completed serving her 2nd term on the FINRA District 7 Committee (South Region).  Ms. Wisniewski is currently a member of the Forensic Expert Witness Association and the National Society of Compliance Professionals, where she serves on the Broker-Dealer Forum.

Ms. Wisniewski has served as Founder and President of B/D Compliance Associates, Inc. for over two decades, where she offers her broker/dealer and registered investment advisor clients the industry expertise she has gained from her unique regulatory and street-side experience.

In 2007 Ms. Wisniewski founded Bridge Capital Associates, Inc., a FINRA member broker/dealer focused on investment banking and M&A transactions with currently over forty registered representatives nationwide.  She serves as President and Chief Executive Officer.


Credentials

EXPERIENCE

Headstrong Properties, LLC, Managing Member, 2009 – Present

Bridge Capital Associates, Inc., CEO/Founder, 2007 – Present

B/D Compliance Associates, Inc., CEO/Founder, 1994 – Present

Jackson Securities Incorporated, President/Chief Compliance Officer/Chief Financial Officer, 1997 – 1998

National Association of Securities Dealers, Inc., Senior Compliance Examiner, 1990 – 1994

United States Small Business Administration, Disaster Loan Officer, 1989 – 1990

Federal Reserve Bank of Atlanta, Financial Analyst, 1989

Merrill Lynch, Pierce, Fenner & Smith, Compliance, 1987 – 1988

Investment Services for America, Registered Representative, 1985 – 1987

EDUCATION

Mercer University – Atlanta, GA, MBA, Finance, 1988

Oglethorpe University – Atlanta, GA, BBA, Business Administration, 1984                                                         

PROFESSIONAL QUALIFICATIONS/LICENSING

Hofbrauhaus of Buffalo, Board Member, 2018 – Present

Securities Experts Roundtable, Board Member, 2018 – Present

National Society of Compliance Professionals, Member, Broker Dealer Forum, 2016 – Present

Oglethorpe University, President’s Advisory Council, 2016 – 2018

Certified Mergers & Acquisitions Advisor, 2014

Association of Certified Fraud Examiners, Certified Financial Crimes Specialist, 2013

Association of Certified Fraud Examiners, Certified Fraud Examiner, 2012

National Society of Compliance Professionals, Certified Compliance Professional, 2008

FINRA Institute/Wharton School of Business, Certified Regulatory & Compliance Professional, 2004

Certified Financial Planner, 1996

FINRA Series 4, 7, 24, 27, 28, 53, 63, 79, 99

PUBLICATIONS

“Should You Be Registered?” ACG Middle Market Magazine Special Report, March 2018

“Limited Corporate Financing Brokers take a Corporate Acquisition Broker Definition” NSCP Currents, May 2016

Automat:ee