Donna has specialized in SEC and FINRA regulatory compliance for over 25 years, serving in Chief Compliance Officer and Executive roles with SEC-registered Investment Advisers engaged in wealth management and private fund businesses, as well as private placement Broker-Dealers. Donna has developed expertise in liquid asset management, private placements, AML programs, operations, corporate governance, and risk management, with a passion for enhancing the investor experience. As Compliance Director at 3iCO, Donna effectively integrates workable compliance solutions for our clients. She holds an insurance producer license in Pennsylvania, as well as various FINRA securities licenses.
3iCO, LLC
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