DNAUSS.COM
Donna Nauss & AssociatesYou are here: Home. FINRA Preventive Compliance Meeting. Speaker at NSCP West Coast Regional Meeting.
http://www.dnauss.com/
You are here: Home. FINRA Preventive Compliance Meeting. Speaker at NSCP West Coast Regional Meeting.
http://www.dnauss.com/
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D Nauss and Associates
Donna Nauss
4962 Sa●●●●●●●e Court
San●●●ego , California, 92130
United States
View this contact
D Nauss and Associates
Donna Nauss
4962 Sa●●●●●●●e Court
San●●●ego , California, 92130
United States
View this contact
D Nauss and Associates
Donna Nauss
4962 Sa●●●●●●●e Court
San●●●ego , California, 92130
United States
View this contact
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Donna Nauss & Associates | dnauss.com Reviews
https://dnauss.com
You are here: Home. FINRA Preventive Compliance Meeting. Speaker at NSCP West Coast Regional Meeting.
dnauss.com
Services
http://dnauss.com/services
You are here: Home. We have heard from the regulators that to be effective, a compliance program needs to be ingrained in the DNA of the firm*, let D Nauss and Associates, LLC help you ensure compliance and risk management are part of your firm’s genetic make up. We look forward to serving investment advisors and broker/dealers of all shapes and sizes. FINRA Preventive Compliance Meeting. Speaker at NSCP West Coast Regional Meeting.
About Us
http://dnauss.com/about-us
You are here: Home. Relevant Business Experience and Key Projects. Instrumental in the development of RIA Services, a new business line offering custodial and administrative services for advisors managing assets through an independent RIA. Achieved executive management goal of offering a robust platform with strong automation support and appropriate compliance approach. Responsible for high profile risk assessment and business development efforts focusing on investment advisory and broker/dealer complian...
Resources
http://dnauss.com/resources
You are here: Home. Securities and Exchange Commission (SEC). Financial Industry Regulatory Authority (FINRA). Municipal Securities Rulemaking Board (MSRB). North American Securities Administrators Association (NASAA). National Futures Association (NFA). North American Securities Administrators Association (NASAA). California Department of Corporations. National Society of Compliance Professionals (NSCP). FINRA Preventive Compliance Meeting. Speaker at NSCP West Coast Regional Meeting.
Broker/Dealers
http://dnauss.com/services/broker-dealer
You are here: Home. We have experience in a small firm and large firm environment. Develop and draft written supervisory procedures. Guidance on outside business activities. Enhance supervision and surveillance programs. Developing an anti-fraud program. Screening new financial advisors. Conduct OSJ or branch office examinations. Provide regulatory examination support. Draft procedures for supervision of independent RIAs. Conduct 3012 Supervisory Control System testing. Support project management efforts.
Donna Nauss
http://dnauss.com/about-us/donna-nauss-2
You are here: Home. Donna Nauss spent over 25 years preparing for her role as founder and consultant at D Nauss and Associates, LLC. She has significant experience in various legal and compliance roles within a dual-registrant broker/dealer and investment advisor environment. Ms. Nauss is excited to be offering her talents and expertise to clients where everything I do is a value-add . Ms Nauss received an MBA from the University of San Diego and a Bachelor of Science from SDSU; Finance major and Psychol...
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Donna Nauss & Associates
You are here: Home. FINRA Preventive Compliance Meeting. Speaker at NSCP West Coast Regional Meeting.
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