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Specialties & Experience

General Specialties: Securities & Investments and Financial

Specialty Focus: Broker/Dealer Compliance, Regulatory Compliance, FINRA/SEC Compliance, Failure to Supervise

Education: MBA, Mercer University; BBA, Oglethorpe University

Years in Practice: 35+

Number of Times Deposed/Testified in Last 4 Yrs: 3


Additional Information

Carrie Wisniewski has 35+ years of securities industry experience and has earned her MBA degree in Finance and holds numerous industry designations including; Certified Fraud Examiner (CFE), Certified Financial Crimes Specialist, Certified Regulatory Compliance Professional, Certified Securities Compliance Professional, and Certified Financial Planner™. She also maintains several FINRA licenses including the 4, 7, 24, 27, 28, 53, 63, 79 and 99 and is qualified as an Industry Arbitrator for FINRA Dispute Resolution. Carrie's career accomplishments include employment as a registered representative and also as a member of the Compliance Department of Merrill Lynch. She was formerly employed by the Atlanta District Office of FINRA as a Senior Compliance Examiner, where she earned several awards for outstanding achievements. Carrie was recently elected to serve a 3rd term on the FINRA District 7 Committee. She is currently a member of the Forensic Expert Witness Association and the National Society of Compliance Professionals, where she is a member of the Broker-Dealer Forum. Carrie has served as Founder and President of B/D Compliance Associates, Inc. for the last 26 years, where she offers her broker/dealer and registered investment advisor clients the industry expertise she has gained from training and experience. In 2007 Carrie founded Bridge Capital Associates, Inc., a FINRA member broker/dealer focused on investment banking and M&A transactions. The firm currently has 47 registered representatives nationwide. Carrie serves as Chief Executive Officer.