Accounting & Compliance/Contracts & Insurance Team Manager
Chief Financial Officer & Chief Compliance Officer
I earned a BS in Business Administration, Finance Theory, from California State University, Northridge in 1985. I have been in the securities industry since 1981 when I joined WEIL as a college student. I served in the accounting department with responsibilities in financial reporting, SEC/regulatory filing and partnership administration until the firm (WEIL's affiliate predecessor) was sold in 1985.
In 1986, I became the Chief Financial Officer of a Los Angeles broker-dealer specializing in direct participation programs and discount brokerage services. I then began a consulting business in 1992 specializing in broker-dealer matters and accounting services for various clients, including WEIL.
I closed my consulting business and came back to WEIL as a full-time employee in 2001. I am a Registered Investment Advisor Representative and a former FINRA-registered General Securities Principal and Financial Operations Principal. I am also the Chief Financial Officer of CWC Asset Advisors, Inc.
I am an avid walker and spend as much time as possible walking on North County beaches, as wells as traveling and exploring far-flung places with my husband Jack Sword. I am a mother to two daughters, a “bonus" daughter and a wonderful son-in-law and am thrilled to be "Gigi" to grandchildren Austin, Iris, and new baby Emilia.