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Tracy Wiswall

Tracy Wiswall

Senior Compliance Examiner

Followers of Tracy Wiswall871 followers
location of Tracy WiswallMemphis, Tennessee, United States

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  • Timeline

  • About me

    20 Year Compliance Officer (Retail and Institutional)

  • Education

    • Southeastern Louisiana University

      1992 - 1997
      Bachelor of Business Administration Management

      Activities and Societies: Theta Chi Fraternity

    • Loyola University New Orleans

      1993 - 1993

  • Experience

    • FINRA (formerly NASD Regulation, Inc.)

      Jan 1999 - Jan 2004
      Senior Compliance Examiner

      Field examiner who conducted routine examinations of all aspects of NASD/FINRA member broker/dealer firms. Typical duties included review of net capital computations, customer suitability, trading, market making, syndicate, banking, etc.

    • Wunderlich Securities, Inc

      Apr 2004 - Sept 2011
      SVP - Chief Compliance Officer

      Duties included creation, iplementation and oversight of all aspects of the compliance of a FINRA and SEC registered broker/dealer and investment advisor.

    • B. Riley Wealth Management

      Sept 2011 - Oct 2021
      SVP - Sr. Compliance Officer

      Project oriented compliance officer, consulting with other compliance officers as well as other departments in conduct of intra and interdepartmental projects.Securities and advisory services offered through B. Riley Wealth Management, Inc.,Member FINRA/SIPC. These statements, or any other opinion posted on this site, are myopinion only and neither represent nor are indicative of B. Riley Wealth Management’soverall opinion. For important disclosure information, please visit: https://brileyfin.com/disclosures#wealth-management-disclosures Show less

    • Nextdoor.com

      Jan 2013 - now
      Lead - Central Gardens

      Volunteer administrator role.

    • Newbridge Securities Corporation

      Nov 2021 - Mar 2022
      Sr. Compliance Officer

    • Cabot Lodge Securities

      Mar 2022 - Dec 2022
      Chief Compliance Officer

  • Licenses & Certifications

    • Registered Options Principal

      FINRA
      May 2005

    • General Securities Representative

      FINRA
      May 2004

    • General Securities Principal

      FINRA
      Jul 2004

    • Uniform Securities Agent State Law Exam (S63)

      NASAA
      Nov 2021

    • Operations Professional

      FINRA
      Dec 2011

  • Volunteer Experience

    • Almuni

      Issued by Memphis Police Department - Citizens Police Academy on Nov 2014
      Memphis Police Department - Citizens Police AcademyAssociated with Tracy Wiswall

    • Graduate

      Issued by FEMA - Community Emergency Response Team on Oct 2012
      FEMA - Community Emergency Response TeamAssociated with Tracy Wiswall

    • Member

      Issued by Federal Bureau of Investigations - Citizens Academy Alumni Association on Nov 2013
      Federal Bureau of Investigations - Citizens Academy Alumni AssociationAssociated with Tracy Wiswall

    • President

      Issued by CENTRAL GARDENS NEIGHBORHOOD WATCH on Jun 2014
      CENTRAL GARDENS NEIGHBORHOOD WATCHAssociated with Tracy Wiswall