For many years, I managed compliance teams that oversaw the management of mutual funds; helping to ensure they adhered to the regulations set forth under the Investment Company Act of 1940, The Internal Revenue Code and the guidelines set forth in the annual prospectus filing with the SEC. I am now a seasoned financial advisor with experience helping investors reach their goals. I serve as a mentor to my clients, guiding them through life events and investment decisions, so they have confidence in their future.