Ms. Bartlett is a Bates Group consultant based in San Diego County, California. As a seasoned compliance professional with extensive and diverse retail securities experience, she is a capable resource to provide practical and proactive broker-dealer compliance and Anti-Money Laundering (AML) consulting services, including drafting and amending policies and procedures, conducting branch audits, performing internal and supervisory control audits, advising on arbitration/litigation matters and training services, among others.
During the span of her 30-year career in the securities industry, Ms. Bartlett has participated in numerous internal (i.e. annual supervisory control and financial) and regulatory audits, conducted branch office inspections, investigated and provided responses to hundreds of customer complaints, including sale practice allegations, facilitated and responded to regulatory inquiries and audit findings.
Most recently, for a period of over 20 years, Ms. Bartlett served as Chief Compliance Officer for First Allied Securities, a retail full-service broker-dealer with over 1000 associated persons, where she managed the firm’s brokerage compliance program and supervised a staff of up to 23. Her oversight responsibilities at First Allied included, but were not limited to, the review of outside business activity analyses, private securities transactions, and Form U4 disclosure and Form U5 filings; the development, execution and ongoing maintenance of the BD policies and procedures; and administration of all aspects of the annual firm element continuing education program and annual compliance meetings.
Additionally, Ms. Bartlett has an in-depth knowledge of AML-related matters. She previously held the role of First Allied’s AML Compliance Officer, and subsequently supported and collaborated with the firm’s AML officer to ensure the ongoing effectiveness of the firm’s AML Compliance program, including CIP, OFAC, Client Due Diligence regulation, and filing of SARs reports.
Ms. Bartlett possesses a B.S. in Business Management and holds the following securities licenses: General Securities Registered Representative (Series 7); General Securities Principal (Series 24); Municipal Securities Principal (Series 53); Registered Options Principal (Series 4); Uniform State Law Examination (Series 63) and Uniform Investment Adviser State Law Examination (Series 65). Ms. Bartlett’s committee work includes active membership in FINRA’s Continuing Education Content Committee and two terms serving on the FINRA District 2 Committee.
First Allied Securities, Inc., Chief Compliance Officer, January 1996 – September 2018
First Allied Securities, Inc., AML Compliance Officer, October 2001 – July 2006
Western Securities Clearing Corp., Chief Compliance and AML Officer/Compliance Registered Options Principle, November 1998 – January 2005
First Allied Securities, Inc., Assistant Vice President, Compliance/Compliance Registered Options Principle, December 1994 – January 1996
First Affiliated Securities, Inc., Assistant Vice President – Compliance/Director of Due Diligence, February 1990 – December 1994
Sentra Securities Corp., Due Diligence Coordinator/Operations Assistant, March 1987 – February 1990
University of Phoenix, San Diego, CA, B.S. Business Management
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