Nancy Lininger
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About Nancy

Nancy Lininger is a "Professional Weightlifter" - she lifts the burden of compliance off the shoulders of financial services professionals.
 
Nancy's expertise covers the spectrum of federal and state securities laws affecting Registered Investment Advisors ("RIAs") and Broker/Dealers ("BDs"). Her skills encompass compliance, practice management and marketing. She is 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").
 
Recognized as one of the leading securities regulatory compliance consultants in the United States, her financial services career spans 30-plus years. She works in close consulting relationships with a select number of financial services firms located throughout the country. Nancy provides hands-on support to financial advisors, compliance officers, and key executives of RIAs and BDs.
 
As a speaker, she delivers workshops and keynotes at company and association conventions, in addition to webinars. Topics cover regulatory reform, compliance, practice management and marketing.
 
In addition to consulting, she 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.
 
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.

Nancy Lininger
 
Nancy Lininger
 
 

Nancy Lininger
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