Candy brings over 20 years of financial services experience and extensive expertise in broker-dealer and RIA regulation spanning FINRA, SEC, MSRB, DOL, and state agencies; she joined the firm in 2021.
Before CRC Oyster, she served in multiple compliance roles at B. Riley Wealth Management, a dually registered broker-dealer and investment advisory firm, most recently as Deputy Chief Compliance Officer, and earlier held product management and principal roles at Morgan Keegan and operational roles at Wachovia Securities. Her work spans complete compliance program development and maintenance, firm merger and acquisition process management, WSP development and Rule 3120 testing, 206(4)-7 annual reviews, Regulation Best Interest implementation, AML and KYC program evaluation, regulatory filings, and start-to-finish oversight of FINRA, SEC, and state examinations.
Candy maintains Series 4, 7, 9, 10, 63, and 65 securities licenses and has completed Investment Adviser Certified Compliance Professional (IACCP) coursework.
