Senior Compliance Professional
Stacey Lavender-Mayes is an experienced Compliance and Operations Officer, having over 20 years of experience in the securities industry, ranging from compliance, supervision, sales and operations with a focus on the implementation of industry regulations and compliance guidelines, establishing effective controls and risk management for the firm’s in which she supports. She has an in-depth knowledge of asset management compliance, Broker Dealer supervisory controls and compliance testing and training.
She has effectively managed teams of compliance, operations, registration, transition and back office personnel in her tenure in the industry.
Stacey has completed multiple exams with the SEC, FINRA and State Securities Regulators. She has worked with outside counsel in preparation for legal and arbitration cases. She has completed a wide array of regulatory filings throughout her time within the industry.
Stacey currently holds a Series 4, 7, 24, 28, 53, 66, 82 and 99. She is insurance licensed in Property & Casualty lines as well as Life & Health and Variable Annuity.
Stacey also serves as a FINRA Arbitrator for the industry and is a US Army Veteran of 9 years’ service.
In her spare time, Stacey still supports the Non-Profit Cat and Kitten rescue she founded in 2011 in Mobile AL, Project PURR Animal Rescue. She remains an active part of the rescue community.