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This profile was last updated on 4/21/2017 and contains contributions from the  Zoominfo Community.

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Wrong Dawn Bond?

Dawn Bond

Executive Vice President

Compliance Advisory Services , Inc

Direct Phone: (770) ***-****direct phone

Email: d***@***.com

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I agree to the Terms of Service and Privacy Policy. I understand that I will receive a subscription to ZoomInfo Community Edition at no charge in exchange for downloading and installing the ZoomInfo Contact Contributor utility which, among other features, involves sharing my business contacts as well as headers and signature blocks from emails that I receive.

Compliance Advisory Services , Inc

Background Information

Employment History

Compliance Coach

The Garrett Planning Network , Inc.


Web References(6 Total References)


Garrett Planning Network - Who We Are

www.garrettplanningnetwork.com [cached]

Dawn Bond and LaVerne Zellmann
Dawn Bond and LaVerne Zellmann Dawn Bond is Executive Vice President of Compliance Advisory Services, a consulting firm based in Atlanta, Georgia. Bond has been in the securities industry for over 14 years. She holds Series 7, 24, 63 and 65 securities licenses and has completed the study programs for the CFP® certification. Zellmann joined forces with Dawn Bond to incorporate Compliance Advisory Services in February 1999.


www.garrettplanningnetwork.com

Dawn Bond and LaVerne Zellmann Dawn Bond and LaVerne ZellmannDawn Bond is Executive Vice President of Compliance Advisory Services, a consulting firm based in Atlanta, Georgia.Bond has been in the securities industry for over 14 years.She holds Series 7, 24, 63 and 65 securities licenses and has completed the study programs for the CFP® certification.Zellmann joined forces with Dawn Bond to incorporate Compliance Advisory Services in February 1999.


Amicus Webinar Speaker Dawn Bond

devani.amicus.com [cached]

Please join Dawn Bond, Compliance Advisory Services, Inc. and Marshall Huwe, CEO, Amicus, Inc. for this FREE one-hour webinar where we'll explore four risk management strategies to protect your firm and your reps in the New World of Broker-Dealer Compliance. Dawn Bond is Executive Vice President and co-owner of Compliance Advisory Services, Inc., a consulting firm based in Atlanta, Georgia.As co-owner of Compliance Advisory Services, Dawn offers to independent broker/dealers and investment advisers compliance assistance and support.The firm strives to offer a relief to compliance staffs by stepping up to administer compliance needs and duties and become part of the compliance team.The goal of Compliance Advisory Services is to relieve concerns about compliance issues by stepping in and taking a hand on approach.The firm assists with registrations, manuals, audits and consults on various compliance matters.Dawn has been in the securities industry for over 12 years.She holds Series 7, 24, 63 and 65 securities licenses and is working on obtaining the CFP designation.Additionally, she has completed studies as a paralegal and attended Kennesaw State University.Dawn started her career in the securities industry with a financial planning firm in Minneapolis, Minnesota.There she served as Vice President of Client Services and oversaw compliance and the asset allocation process.After moving to Atlanta, Georgia, she worked for a large broker/dealer in the legal department and was promoted to RIA Compliance Director.As RIA Compliance Director she was responsible for directing compliance issues and participating in the decision making process related to the management of advisory business at the broker/dealer.Additionally, she oversaw the acquisition of outside investment advisers.Dawn served on the FPA Compliance Advisory Council for the broker/dealer division of the FPA.


ctt.trains.com

By Keith Wills


www.finra.org

Interpretive Letter to Dawn Bond, FSC Securities Corporation


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