About The Consortium
The experienced team of "Professional Weightlifters" at The Consortium is here to lift the burden of compliance off the shoulders of financial services professionals.
The Consortium's expertise covers the spectrum of federal and state securities laws affecting Registered Investment Advisors ("RIAs") and Broker/Dealers ("BDs"). Their skills encompass compliance, practice management and marketing. They are versed in the Investment Advisers Act of 1940, Securities Exchange Act of 1934, the rules of the Securities Exchange Commission ("SEC") and the Financial Industry Regulatory Authority ("FINRA").
Over the past 30 years, The Consortium has grown to become one of the leading securities regulatory compliance consultants in the United States. The Consortium works in close consulting relationships with a select number of financial services firms located throughout the country. We provide hands-on support to financial advisors, compliance officers, and key executives of RIAs and BDs.
In addition to consulting, The Consortium offers a range of user-friendly customizable compliance resources (templates, guides, forms and research), designed to get you on the right side of securities compliance regulations - and keep you there. These products are ideal for the do-it-yourself person.
About Nancy Lininger
Nancy is the author of the e-book Go To CEO! How to Start Your Independent Investment Advisory Firm. She is also a contributing author to Guide to Investment Advisory Services (Practitioners Publishing Co., 1997) and So You Want to Be a Financial Planner (Nancy Langdon Jones, CFP, 2001). Nancy has been featured regularly in the pages of Investment News, Complinet, On Wall Street, Registered Rep and Financial Planning, along with a variety of other financial industry publications.
After studying marketing in school, Nancy entered the retail merchandising field. Nancy has worked in the Financial Services Industry since 1978, starting on the marketing side as a stockbroker. Commencing in 1983 she worked as a Compliance Officer for a Broker/Dealer and then for a Registered Investment Advisor. She founded The Consortium in 1989.
Membership is maintained in the National Society of Compliance Professionals, Financial Services Institute, and the Financial Planning Association. Nancy serves on the editorial board of Thomson Reuters Accelus.
About Todd Sakoda
Todd brings 20+ years of experience in the financial services industry ranging from compliance and operations to business development and relationship management. His last 12 years has focused on serving the needs of independent registered investment advisory firms throughout the country. Over his career he has also worked with independent broker-dealer advisors and bank investment programs.
About John T. Carr
John brings an extensive legal background spanning 25+ years. As the founding owner of the Carr Butterfield, LLC law firm, John represents financial service professionals throughout the country in matters with the SEC, FINRA, the DOL, state securities and insurance agencies and various courts. He understands the legal/regulatory environment of the industry including a deep knowledge of ERISA matters.