Compliance

As Chief Compliance Officer, Stephanie is responsible for maintaining compliance with the rules and regulations of the Securities and Exchange Commission for Merriman and its employees. She is an Investment Adviser Certified Compliance Professional (IACCP℠) and holds a Series 65 securities license. Stephanie has been quoted in compliance publications and is a speaker at national industry conferences.

Originally from Spokane, Washington, Stephanie moved to Seattle to attend the University of Washington where she earned a Bachelor of Arts in music. Before joining Merriman, Stephanie was a corporate training specialist at Diligenz (now part of Corporation Service Company) which provides web-based due diligence services for the lending, leasing and legal markets.

Stephanie now lives with her husband in downtown Seattle. In her free time, she enjoys hot yoga, mountain biking, snow skiing, traveling and reading.

Email: stephanie@merriman.com

Internal compliance resources:
View our ADV Part 2 here.

External compliance resources:
Stephanie is frequently quoted in a compliance publication called IA Week:
April 25, 2011: Brochure supplements vary as firms grapple with who to include in them
January 17, 2011: How’s that Form ADV, Part 2 coming?
November 29, 2010: Lack of regulatory guidance won’t stop firms from venturing into social media
October 11, 2010: Compliance pros suggest monitoring for employee use of social media
September 14, 2009: Social networking’s opportunities run headlong into regulatory restraints

Content by Stephanie:
What is a fiduciary and why should I care? posted on Nov 2010