Forensic Expert Witness Profile

Professional

Carrie Wisniewski

CFE, CRCP, CSCP, CFP, CM&AA, CFCS

B/D Compliance Associates, Inc
127 Main Street NW
Liburn, GA 30047

Phone: 678-640-2120
Fax: 770-923-9760
Email: carrie@bd-compliance.com
Website: http://www.bd-compliance.com

Experience

  • 32+ years in the securites industry
  • Litigation support and testimony services
  • Former FINRA Senior Examiner
  • Broker/dealer and RIA regulatory compliance consultant
  • Retail Broker experience
  • President of an investment banking firm, FINRA member
  • FINRA District Committee member, (2010-2012)
  • National Society of Compliance Professionals, Member

Categories

Profile

Carrie Wisniewski has 32+ years of securities industry experience and has earned her MBA degree in Finance and holds numerous industry designations including Certified Fraud Examiner, Certified Financial Crimes Specialist, Certified Regulatory Compliance Professional, Certified Securities Compliance Professional and Certified Financial Planner™. She also maintains several FINRA licenses including the 4, 7, 24, 27, 28, 53, 63, 79 and 99 and is qualified as an Industry Arbitrator for FINRA Dispute Resolution.
Carrie's career accomplishments include employment as a registered representative and also as a member of the Compliance Department of Merrill Lynch. She was formerly employed by the Atlanta District Office of FINRA as a Senior Compliance Examiner, where she earned several awards for outstanding achievements. Carrie was recently elected to serve a 2nd term on the FINRA District 7 Committee. She is currently a member of the Forensic Expert Witness Association and the National Society of Compliance Professionals, where she serves on the Small Broker/Dealer Sub-Committee.
Carrie has served as Founder and President of B/D Compliance Associates, Inc. for the last 23 years, where she offers her broker/dealer and registered investment advisor clients the industry expertise she has gained from training and experience.
In 2007 Carrie founded Bridge Capital Associates, Inc., a FINRA member broker/dealer focused on investment banking and M&A transactions. The firm currently has 40 registered representatives nationwide. Carrie serves as Chief Executive Officer.

Curriculum vitae

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Publications