Why settle for canned compliance when you can have a Compliance Partner
Ann Degenshein, President of BD Compliance Partners, Inc., has over thirty years of securities industry compliance and operations experience. She began her career with FINRA in Atlanta, GA as an Examiner and advanced to a Field Supervisor.
During her thirteen years with FINRA, Ms. Degenshein examined all types of Broker/Dealers, including regional clearing and national firms. She also worked on Enforcement Department fraud investigations.
Ms. Degenshein left FINRA in 1997 to head the compliance department at Securian Financial Services, Inc. in St. Paul, MN (formerly Ascend Financial Services). As Compliance VP, she hired and trained Compliance Officers, expanded the branch audit program, wrote and implemented new supervisory procedures, and enacted new policies to promote uniform compliance practices between the Broker/Dealer and insurance company affiliate Minnesota Life.
In 1998, Ms. Degenshein started her own consulting business in the Twin Cities, relocating to the Portland, OR metro area in 2006. She provides compliance consulting and registered principal outsource services to FINRA member firms, has been an expert witness, and served on FINRA arbitration panels.
Ms. Degenshein graduated from the University of Florida with honors, receiving a Bachelor of Science Degree in Finance. She then earned a Master of Science Degree in Finance from Georgia State University. For over twenty years, Ms. Degenshein has been FINRA Series 7, 24, 27, 53, 66, 79, and 99 registered.