The Consortium Today
Our consulting expertise covers the spectrum of federal and state securities laws affecting Registered Investment Advisors ("RIAs") and Broker/Dealers ("BDs"). Our skills encompass compliance, operations, practice management, business development, marketing, and also legal perspective. We are versed in the Investment Advisers Act of 1940, Securities Exchange Act of 1934, and the rules of the Securities Exchange Commission ("SEC") as well as Financial Industry Regulatory Authority ("FINRA").
We develop close consulting relationships with a select number of financial services firms located throughout the country. We provide hands-on support to financial advisers, compliance officers, and key executives of RIAs and BDs.
In addition to consulting, we offer 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.
Our “Professional Weightlifters” lift the burden of compliance off the shoulders of financial services professionals. With our recently expanded team, we do so with an even greater range of combined experience and knowledge.
Todd brings 20+ years of experience in the financial services industry ranging from compliance and operations to business development and relationship management. His last 12 years has focused on independent registered investment advisory firms. Over his career, he has worked with independent broker-dealer advisors and bank investment programs as well.
John brings an extensive legal background that has spanned over 25+ years. As the founding owner of the Carr Butterfield, LLC law firm, John represents financial service professionals throughout the country in matters with the SEC, FINRA, DOL, state securities and insurance agencies and various courts. He understands the legal/regulatory environment of the industry including a deep knowledge of ERISA matters.
With over 25+ years of legal experience, Lisanne represents and assists small and closely-held businesses, financial services firms, and other licensed professionals through multiple jurisdictions, including federal court and FINRA, with litigation, arbitration, internal investigations, regulatory enforcement defense, recruiting matters and business transactions. She also represents RIA firms and their IARs in regulatory/governmental investigations of misconduct, and general exit strategy advice.
Firm History and Founder, Nancy Lininger
Nancy entered the financial services industry in 1978. She started as a stockbroker after studying marketing in school. In 1983, she switched to the compliance side of the business as Compliance Officer for a brokerage and then over to an investment advisory firm. Nancy observed growing need in the industry which led her to found The Consortium In 1989.
As one of the first few compliance consulting firms in the nation, Nancy became a "Professional Weightlifter" and filled a specialized niche. It was during these early years of The Consortium that independent RIA’s were breaking away from their broker-dealer affiliations. Nancy assisted dually registered reps, their broker-dealers, and was also there to support the industry’s initial thrust to fee-only. That trend has continued through today and, with it, The Consortium has grown to become one of the leading securities regulatory compliance consultants in the United States.
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.