"She
established my office file system, and related procedures manuals for
compliance with the various regulatory agencies involved.
She was also 'there' when I needed the support through the 'mental
transition'."
Stephen J. Kipp, President,
Financial Focus July 16, 1990
"You
really have helped me – if only to get the feeling inside myself that
I’m doing things relatively right. I needed more confidence and
you’ve provided that."
Linda A. Barlow,
CFP January 4, 2002
"Bottom
line, I have a business to run. I
find it significantly more cost effective to spend my time attracting and
servicing clients (making money) and to contract the regulatory details
out to a professional of Nancy's caliber."
Bonnie Wusz, President, BW & Associates, Inc. February 5, 1991
"I
have had a professional relationship with Nancy for more than eight years.
In that time I have found her to be extremely current and well read in her
knowledge of our profession as well as consistently accurate in all of the
accompanying details."
Leon Colafrancesco, President, Seamount
Financial Group June 12, 1998
“My
staff and I were impressed by your expertise, the insights you provided
and the solutions you offered for some concerns we had.”
Donald B. Crane, Owner, Crane & Associates, April 10, 2000
"Nancy
was able to use our proprietary reports and complete the [branch] audits
and documentation to our complete satisfaction.
She was able to do the spot check with as little interruption as
possible from the daily sales and operations of large producing
offices."
Janice W. Maggetti, Executive
VP, Capital Analysts January 30, 1997
"Ms.
Lininger helped us prepare the [compliance] manual [and supervisory
procedures]. We were very
pleased with the outcome of the work product and found it had excellent
acceptance with the NASD."
John R. Heldring, Director of Compliance, Sentra Securities June 26,
1992
“Having
an objective third party gives us a fresh look at what we have been doing
routinely and take for granted. It was also reassuring to know that
we were doing most things right.”
Max Robinson III,
(former) VP Compliance, Associated Securities Corp. August 11, 2000
"You
have been an outstanding resource in the past several months to both of us
in trying to get Triple Check up to speed in the compliance area."
Donna Medlock, Trading and Compliance Manager, Triple Check December
15, 1992
"Ms.
Lininger was professional, well-informed, and entertaining in her
presentation of mandatory compliance materials to FAS’ field of
independent contractors."
Lisa Roth, (former) President, First
Affiliated Securities September 20, 1993
“Thank
you for your closing general session. It was important to me that
you showed how good marketing and good compliance work hand-in-hand.
Job well done! Our Reps were positive in their feedback as well.”
John V. Young, Chief
Compliance Officer, Brecek & Young September 5, 2001
"What
a terrific speaker you are, and what a wonderful service you provide!
Please include the San Gabriel Valley Society of the Institute of
Certified Financial Planners among your sincerest admirers..."
Nancy Langdon Jones, CFP/Program Chair May 2, 1991
"I
heard nothing but positive comments from all the attendees, even the
hard-to-please ones. They
particularly enjoyed your mixture of compliance reminders, marketing and
practice management advice, and humor."
Ian R. Jones, Ph.D., CFP/VP Education; Los
Angeles Chapter IAFP December 22, 1989
"Thanks
for motivating me. Like most
of us in business, our formal [marketing] plans are somewhere out there
when we have time, we will get to it.
You have made what seemed like a very arduous task into something
very simple, very valuable, and very exciting."
Jeanne C. Stilwell, President, KAZ &
Associates August 20, 1992
“Hiring
Nancy has resulted in some of the most productive money we’ve spent
since deciding to open our business.”
Michael Green & Jim Benham, Members, Benham & Green Capital Mgt
October 9, 1999
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