An Introduction ::.

Catherine Hanks securities compliance professional

Hello. I am Catherine Hanks, a securities compliance professional with 28 years in broker-dealer and investment adviser regulatory affairs. I offer compliance consulting services. I am, simply put, an expert in broker-dealer compliance issues with tangents in investment advisory activity as they relate to wrap products, individual portfolio management and charging a fee for financial planning.

My resume is available as a download on this site and I encourage you to review it. In it you will discover that I have been employed by bank-affiliated, insurance-affiliated and money management brokerage firms as head of Operations, Due Diligence, Training, Financial Planning & Compliance departments. I established a Registered Investment Adviser in each brokerage firm in which I was employed, for the purposes of offering wrap products, individual portfolio management or for charging a fee for financial planning.

I am located in the Washington DC area and concentrate my services on the East Coast. I have innumerable references after almost three decades in the industry. I look forward to helping firms foster a compliance culture that is sales-oriented in nature and that is efficient and cost effective.

Please contact me with your compliance ‘opportunities’

Date Line ::.

securities compliance time line

“Date Line” is an interactive view chronicling the last 30 years of my carrier in comparison to the landmark growth in the stock market, SEC regulations and historical moments. It has been a roller coaster ride I would like to share with you. I invite you take a trip back in time.


Flash plugin is required


: Quick Read :

Areas of Expertise

FINRA Conduct Rules
Investment Adviser's Act of 1940
SEC 1933 and 1934 Acts
Regulatory Integration of Brokerage and Investment Adviser Activity[Click for More]

Services / Skill Set

BD and RIA mock regulatory examinations, SEC and FINRA
FINRA Rule 3012/3013 Testing and
Investment Adviser’s Act Rule 206(4)-7 Review
Routine Branch And OSJ Audits

Fostering a culture of compliance by the effective dissemination and communication of regulatory requirements and compliance strategy, policy and processes.[Click for More]


Catherine Hanks is a senior securities compliance professional with 30 years in broker-dealer and investment adviser regulatory affairs.[Click for More]

Privacy Policy

I am committed to maintaining the highest level of confidentiality in all conversations and dealings with prospective clients, clients, partners, affiliates and strategic alliances.[Click for More]