Ms. André is an expert and consultant with Bates Regulatory & Compliance Group and is based in Portland, Oregon. She is available to provide hands-on registration, compliance consulting and training services to registered investment advisors and broker-dealers. During her career, Ms. Andre has conducted numerous internal audits and prepared responses to regulatory requests from the SEC, FINRA, state, and depository institution regulators. She has conducted private securities and outside business activity analyses and developed supervisory procedures for private securities transactions. In addition to providing compliance consulting services, Ms. Andre is available through Bates to serve as an expert witness and testify regarding compliance and supervision issues in securities arbitrations and disputes involving registered investment advisors or broker-dealers.
Ms. André began her career in the brokerage industry as an Account Executive at PaineWebber and later joined Equitable Financial Services as Director of Equity Sales. At Equitable Financial, she helped develop the firm’s Regional Securities Department for Oregon and Washington. In addition to her responsibilities as Director of Equity Sales, Ms. André maintained a personal book of business and conducted portfolio evaluations for firm clients.
After leaving Equitable Financial, Ms. André served as Vice President and Marketing Director at WestMark, Inc., a third-party financial services marketing company where she developed and presented seminars for major banks and insurance companies. Subsequently, she joined Marketing One Inc. as Director of Compliance and ultimately became Vice President and Compliance Director for M Holdings Securities, Inc., a broker-dealer and registered investment advisor. At M Holdings Securities, Ms. Andre was responsible for the development of the firm’s compliance programs, and she helped M Securities become one of the largest producers of variable life products in the U.S.
Throughout her career, Ms. André has conducted presentations and training seminars for retail clients and financial service professionals nationwide. In addition, she has developed NASD (now FINRA) Compliance and Supervisory Procedures, Firm Element and Continuing Education programs. She also has conducted Annual Compliance meetings, Sales Manager Supervisory, and Anti-Money Laundering training. Ms. Andre previously held Series 7, 24, 53 and 63 licenses from the NASD.
Prior to joining Bates Regulatory & Compliance Group, Ms. Andre was an independent consultant with Springwater Compliance Services in Portland.
Bates Group, Independent Expert, 2008 to present
Springwater Compliance Services, LLC, Managing Principal, 2004 to present
M Holdings Securities, Inc., Vice President and Compliance Director, 1999 to 2004
Marketing One Inc., Vice President and Director of Compliance, 1997 to 1999
Marketing One Securities, Assistant Vice President and Supervisory Manager, 1991 to 1997
WestMark, Inc., Vice President, Marketing Director, 1988 to 1991
Equitable Financial Services, Director of Equity Sales, 1985 to 1988
Paine Webber Group, Account Executive, 1980 to 1985
Series 7–Full Registration/General Securities Representative
Series 24–General Securities Principal
Series 53–Municipal Securities Principal
Series 63–Uniform Securities Agent State Law Examination
Life and Health Insurance License, State of Oregon
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