Cathy brings more than 25 years of compliance and supervisory expertise in independent broker-dealers, wire-house broker/dealers, and RIAs. Cathy served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent broker/dealer, and RIA. She was an Associate Manager for Prudential where she supervised 75 representatives, performing all compliance functions for the branch. She began her career as a stockbroker for Salomon Smith Barney and later moved to compliance and operations. Cathy has a Masters of Business Management degree. She is a member of the Association of Compliance Professionals; a member of National Society of Compliance Professionals; a member of Compliance and AML Professionals; and has FINRA Series 7, 24, 26, 63 and Life and Health licenses.
An alumnus of Invesco and NFP, Dana Rhodes was most recently Vice President of Advisory Services at Kestra Financial. Now as Managing Director of Enterprise Services at Riskalyze, she oversees the development and design of enterprise advisory platforms for large wealth management clients. She holds series 6, 7, 26, 63 and 66 licenses.