Investment Operations Specialist, Seattle
In operations, as in finance, smart, early planning is the secret to having more flexibility later!
Deborah is adept at juggling and reprioritizing a wide array of responsibilities and she’s always willing to step up and assist her colleagues and clients. Her background as a financial planning assistant makes her an invaluable contributor to almost every client relationship. She has also passed both the General Securities Representative (Series 7) exam and the Uniform Securities Agent State Law (Series 64) exam. She is relentlessly organized, but an adventurer at heart. If she’s not tending her lovely gardens at home, expect to find her exploring all across the US or sailing around the Caribbean.
- Compliance & Operations Manager (Passing scores on Series 7 and Series 64 exams)
- Series 24 – Registered Branch Principal license
- Series 53 – Municipal Securities Principal license