Nationwide (866) 617-2900

14 years of accounting and regulatory compliance experience

Jillian Carlson helped co-found the firm in 2005 and is the firm’s Chief Compliance Officer. Prior to joining the firm, she worked at the tax practice of Bernard & Stallman, CPAs.

Education

  • New York University
    School of Professional Studies
    Advanced Diploma in Financial Planning
  • Master of Business Administration
    Keller Graduate School of Management
  • Bachelor of Science in Business Administration, magna cum laude
    DeVry University

Jillian has completed a CFP Board-registered certification educational program to earn the CERTIFIED FINANCIAL PLANNERTM designation.

Professional Accreditation

During her career, Jillian has earned the following professional designations:

  • Accredited Investment Fiduciary®
  • Investment Adviser Certified Compliance Professional®

Focus

Our firm maintains a strong culture of regulatory and ethical compliance with regard to the protection of trust placed with the firm by its clients for their accounts, the rules and regulations of the Securities and Exchange Commission (“SEC”), other regulatory bodies or self-regulatory organizations, and federal and state securities laws.

We develop our Regulatory Compliance work product as a strategic, proactive component of our professional investment management, financial life management and retirement planning services. We develop and build processes to safeguard and protect our clients interests, assets and confidential information, and to ensure that we are aware of and take steps to comply with relevant laws and regulations.

We prepare, adopt, implement and administer policies and procedures ‒ such as employee training, internal controls, and best practices ‒ and we review, audit, test and assess our firm’s business activities and the conduct of our employees.

We view our regulatory compliance program as an integral part of the financial life management, investment management and retirement planning work product our clients receive from us, and our compliance program is formally recognized in our professional services cost structure.

Hire a trusted team of board-certified financial professionals with breadth and depth-of-field, so you can focus on your life, not these jobs.

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