Laura Tedball
Chief Compliance Officer at Advisory Services Network, LLC | Marietta, Georgia, United States
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Laura Tedball serves as the Chief Compliance Officer at Advisory Services Network, LLC (ASN), where she leverages her extensive 22-year background in the financial services industry to enhance compliance frameworks and operational efficiencies. With a deep understanding of the regulatory landscape, Laura is instrumental in developing and implementing robust compliance policies that align with the Securities Exchange Act and the Investment Advisors Act. Her expertise spans a wide range of areas, including Anti-Money Laundering (AML) program development, advertising review, and regulatory filings, ensuring that ASN maintains the highest standards of integrity and transparency.
At ASN, Laura leads key projects aimed at establishing a comprehensive branch audit program, which includes meticulous examinations designed to identify and mitigate potential compliance risks. Her strategic approach not only safeguards the firm against regulatory scrutiny but also empowers Investment Adviser Representatives (IARs) to operate with confidence in their independent practices. By fostering a culture of compliance and continuous improvement, Laura plays a pivotal role in ASN’s mission to provide a seamless alternative for IARs seeking independence without the complexities of launching a new investment advisor firm.
Laura’s proficiency in FINRA rules and auditing further enhances her ability to navigate the intricate landscape of investment advisory services. Her commitment to compliance excellence not only protects ASN’s reputation but also positions the firm as a trusted partner for IARs looking to thrive in a competitive market. Through her leadership, Laura Tedball exemplifies the critical role of compliance in driving sustainable growth and fostering trust within the financial services sector.
Chief Compliance Officer at Advisory Services Network, LLC in December 2014 to Present
Senior Consultant at Mainstay Capital Markets Consultants, Inc. in December 2014 to December 2019
Chief Compliance Officer and AML Officer at Resource Horizons Group LLC in January 2008 to December 2014
Chief Operating Officer at Wellstone Securities, LLC in January 2002 to January 2008
Licensing & Operations Manager at Consumer Concepts Investments in January 2000 to January 2002
Licensing Manager at Medallion Equities, Inc. in January 1998 to January 2000
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Kalamazoo College
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Securities
Investment Advisory
AML
Alternative Investments
Compliance
Auditing
FINRA Rules
Securities Exchange Act
Investment Advisors Act
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Discover more about Advisory Services Network, LLCWhat is Laura Tedball email address?
Email Laura Tedball at [email protected]. This email is the most updated Laura Tedball's email found in 2026.
How to contact Laura Tedball?
To contact Laura Tedball send an email to [email protected]. (updated on September 02, 2024)
What company does Laura Tedball work for?
Laura Tedball works for Advisory Services Network, LLC
What is Laura Tedball's role at Advisory Services Network, LLC?
Laura Tedball is Chief Compliance Officer
What is Laura Tedball's Phone Number?
Laura Tedball's phone (404) ***-*258
What industry does Laura Tedball work in?
Laura Tedball works in the Financial Services industry.
Laura Tedball Email Addresses
Laura Tedball Phone Numbers
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