Corrie is the Options Principal, Municipal Securities Principal, and a Compliance Officer for Arete Wealth. She is in constant communication with Arete’s Chief Compliance Officer and works tirelessly to keep Arete Wealth advisors safe as the Senior Director of Compliance.
Corrie has nearly a decade of experience, starting her career in the compliance department of a national broker-dealer. Later, she accepted the position of Chief Compliance Officer with an independent registered investment advisory firm. During Corrie’s lengthy tenure as CCO, that firm received zero customer complaints and passed every regulatory examination without a single substantive deficiency.
Corrie graduated from the University of Memphis with a BBA in Management Information Systems. She holds six professional licenses, the Series 7 (general securities), Series 24 (general securities principal), Series 4 (registered options principal), Series 53 (municipal securities principal), Series 66 (uniformed combined state law), and the Series 31 (futures managed funds).
Having lived all over the country, Corrie is proud to call Memphis her home.