Tammy Emsick, Senior Compliance Consultant and Director of Business Development for RIA Compliance Consultants, Inc., is in charge of the firm’s marketing and business development initiatives. She serves as a point-of-first contact for new RIA Compliance Consultants, Inc. clients. Her strong industry background is used to help determine appropriate consulting services for investment advisor firms based on their unique, individual circumstances. Tammy is also responsible for coordinating and organizing compliance webinars hosted by RIA Compliance Consultants, Inc. and publishing the firm’s newsletters and blogs.
Before assuming the role as Director of Business Development, Tammy’s prior experience with at RIA Compliance Consultants concentrated on registering new investment advisor firms, developing written compliance programs and codes of ethics, conducting mock SEC and state regulatory examinations, assisting investment advisor firms with regulatory exams and presenting compliance training for investment advisors.
Tammy is an experienced securities industry professional. Her career in the securities industry began over 20 years ago. During this tenure, Tammy has successfully passed the Series 7, Series 24, and Series 66 examinations and held various leadership roles in compliance and operations.
Since approximately 1996, Tammy has concentrated upon compliance issues related to the investment advisory rules issued by the U.S. Securities and Exchange Commission and state securities regulators. In particular, Tammy has served as the RIA Compliance Director of one of the largest independent broker-dealers in the country. In this role, Tammy was responsible for compliance matters and documentation development for the firm’s corporate investment advisor, which maintained over $10 billion in assets under management and administration and had over 800 investment advisor representatives.
In addition to her compliance work with the corporate investment advisor of the independent broker, Tammy also led the development of a compliance consulting group that assisted independent investment advisor firms that were operated by registered representatives of the independent broker-dealer. In this capacity, she and her staff consulted with over a hundred independent investment adviser firms on various regulatory issues, prepared regulatory documents such as Form ADVs and compliance manuals, and administered IARD accounts. Finally, Tammy developed and taught investment advisory compliance training seminars, conducted investment advisory audits of independent investment advisor firms operated by registered representatives of the independent broker-dealer, and assisted these independent investment advisor firms with the preparation for regulatory audits and providing responses for such audits.