Our New Capital Markets Consulting site is Live ! We’re excited to reintroduce our capital markets consulting services on our newly updated site. Discover our distributing consulting, product structuring services, how we can assist with your due diligence and marketing materials, and assist with referral/reintroductions. Visit: https://lnkd.in/e82imvKH #CapitalMarkets #Consulting #BusinessGrowth #duediligence #fund managers #referrals #WebsiteLaunch
American Elm
金融服务
Portsmouth，New Hampshire 1,020 位关注者
American Elm is a family of affiliated firms including American Elm Advisors & American Elm Distribution Partners
关于我们
American Elm Advisors offers Compliance and Investor Relations Consulting Services to fund managers, RIAs, BDs and insurance companies. We seek to empower our partners, enabling you to reach your fullest potential by seamlessly integrating critical operations services. We pride ourselves in taking a customized approach to our consulting services; assessing your goals and providing support in the areas that you need most.
American Elm Distribution Partners, A FINRA member broker-dealer, has a mission to collaborate with private fund managers to establish a sustainable and compliant business model, build their unique corporate brand and diversify their sources of equity while streamlining costs that may otherwise affect investor returns.
- 网站
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https://americanelmadvisors.com
American Elm的外部链接
- 所属行业
- 金融服务
- 规模
- 2-10 人
- 总部
- Portsmouth，New Hampshire
- 类型
- 私人持股
- 创立
- 2010
- 领域
- Compliance Consulting、Investor Relations Consulting、Capital Markets Consulting、Broker Dealer、Financial Services、Compliance Training、Alternative Investments、Private Fund Offerings和Expert Witness Services
地点
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主要
获取路线
155 Fleet St
US，New Hampshire，Portsmouth，03801
American Elm员工
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Jessica Murray
Partner and Chief Compliance Officer | Offering Compliance Consulting Services to Broker-Dealer, RIA & Insurance CEOs | Securities Expert Witness |
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Robert Aufenanger
Board Director and Sr. Consultant at American Elm
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Julie Bruno
Senior Vice President, Operations & Compliance Officer
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Nick Primiani
Actuarial Assistant at Fidelity
动态
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Our Updated Website is Live! We’re excited to reintroduce our compliance consulting services on our newly updated site. Explore how we can help your firm with our proactive approach to ensure your business stays compliant and ahead of the curve. Check it out now: https://lnkd.in/e-Qj-jaD #Compliance #Consulting #Regulatory #RIA #brokerdealer #annuitycarriers #WebsiteLaunch
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Presidents' Day is a great opportunity to reflect on the impact of our nation's presidents and to take a moment to think about the lessons we can apply to our own leadership journeys. #PresidentsDay #Leadership #History
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Re-Introducing American Elm Advisors with the Launch of our New Website! We’re excited to reintroduce our services in compliance, and capital markets consulting on our newly updated site. Explore who we are, our enhanced service details, and resources to help you navigate complex markets and drive growth. Check it out now: https://lnkd.in/gdeQTbsE #Compliance #CapitalMarkets #Consulting #WebsiteLaunch #AmericanElmAdvisors
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Thank You for Helping Us Reach 1,000 Followers! We’re so grateful for your support and engagement - this milestone reflects the incredible community we are building. Here’s to even more growth, collaboration, and success in the future! Stay tuned for more Compliance & Capital Markets insights and updates. #Gratitude #Milestone #ThankYou #Growth #Success
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American Elm转发了
Partner and Chief Compliance Officer | Offering Compliance Consulting Services to Broker-Dealer, RIA & Insurance CEOs | Securities Expert Witness |
Just read Alex Krenke's latest post from Quest CE about FINRA's December disciplinary actions—always a great reminder to get back to basics in compliance. As compliance professionals, we should never underestimate the value of regularly reviewing disciplinary actions to understand where firms fall short. Alex's insights are a must-read, and I’m proud to count him as a colleague and resource in this industry. Let’s all take a moment to double down on the fundamentals—accurate reporting, clear communication, and staying in lockstep with the rules. What are your go-to practices for keeping compliance front and center? Let’s discuss! #Compliance #FINRA #FinancialServices #RegulatoryCompliance #BackToBasics #ProfessionalDevelopment #Ethics #DisciplinaryActions
Chief Executive Officer at Quest CE, helping broker-dealers and investment advisors simplify their compliance programs through technology
?? Learning from FINRA’s December Disciplinary Actions: Key Lessons for 2025 As the year winds down, FINRA's latest disciplinary actions provide valuable insights into common compliance pitfalls and the consequences of overlooking regulatory obligations. From supervisory failures to undisclosed outside business activities, these cases highlight areas where firms and individuals fell short—and offer crucial lessons for everyone in the financial services industry. ?? In this article, we cover: ?? Real examples of violations, including supervisory lapses, misuse of funds, and misleading communications. ?? Practical takeaways to help your firm strengthen its compliance framework. ?? Proactive steps to avoid costly penalties and protect investor trust. ?? These cases serve as a powerful reminder: Compliance is not just a regulatory requirement—it’s a foundation for building long-term client relationships and industry credibility. ?? Read the full article and discover actionable steps to refine your compliance strategy Let’s work together to make 2025 a year of stronger compliance and investor protection. Share your thoughts in the comments! #FINRA #RegulatoryCompliance #InvestorProtection #ComplianceMatters #FinancialServices
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American Elm转发了
Merry Christmas from the American Elm Family to yours!
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American Elm转发了
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