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Investment Advisor and Broker Dealer Compliance
With an increasingly complex securities regulatory landscape, compliance is more important than ever. Built on a foundation of expertise and partnership, Covered Bridge has the experience necessary to guide the way for Investment Advisers and Broker Dealers.
Count on us to customize solutions for Investment Advisers and Broker Dealers that are in compliance with the rules and regulations of the SEC, the State, and/or FINRA. We specialize in identifying business and regulatory risks specific to your firm before they become problems.
The Team
Angela J. Schrad is Founder and Principal of Covered Bridge Compliance LLC, a consulting firm specializing in investment adviser and broker dealer regulatory issues. Mrs. Schrad performs on-site compliance reviews and mock regulatory exams to ensure investment advisers conduct business in compliance with relevant SEC and state rules and regulations.
Mrs. Schrad’s 15-year experience as an SEC examiner, working with a wide variety of investment advisers, combined with her experience as a Consultant allows her to identify regulatory issues and create a path for compliant solutions customized for each Adviser.
Principal
William E. Murray is a Consultant of Covered Bridge Compliance LLC, a consulting firm specializing in investment adviser and broker dealer regulatory issues. Mr. Murray performs on-site compliance reviews and mock regulatory exams to ensure broker dealers conduct business in compliance with relevant SEC, SRO and GAAP rules and regulations. Mr. Murray’s expertise includes reviewing firm’s Financial, Operational and Sales Practice areas.
Mr. Murray has over 30 years of experience as a SEC accountant and NASD/FINRA examiner having conducted over 450 examinations of registered broker dealers. His extensive experience working with a wide variety of broker dealers allows him to identify regulatory issues and customize solutions for each Broker Dealer.
Consultant