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Last Update

2015-12-15T00:00:00.000Z

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Background Information

Employment History

Executive Vice President and Co-Owner

Compliance Advisory Services , Inc

Executive Vice President

Compliance Advisory Services , Inc

Hottest Products

Compliance Advisory Services , Inc

Compliance Coach

The Garrett Planning Network , Inc.

Education



Kennesaw State University

Web References (5 Total References)


Amicus Webinar Speaker Dawn Bond

www.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.

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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.


Garrett Planning Network - Who We Are

www.garrettplanningnetwork.com [cached]

Dawn Bond and LaVerne Zellmann

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Dawn Bond and LaVerne Zellmann
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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.
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Zellmann joined forces with Dawn Bond to incorporate Compliance Advisory Services in February 1999.


Dawn Bond and LaVerne ...

www.garrettplanningnetwork.com [cached]

Dawn Bond and LaVerne Zellmann

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Dawn Bond and LaVerne Zellmann
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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.


Interpretive Letter to Dawn ...

www2.finra.org [cached]

Interpretive Letter to Dawn Bond, FSC Securities Corporation


NASD - Regulation - Interpretive Letter - 07/30/98

www.nasdr.com [cached]

Ms. Dawn BondRIA Compliance DirectorFSC Securities Corporation2300 Windy Ridge ParkwaySuite 1100Atlanta, Georgia 30339

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