LuAnne M. Garvey
AS, Montgomery County Community College
Ms. Garvey provides compliance consulting to investment advisor clients which involves guidance on firm and individual registrations, advisor compliance programs, drafting compliance policies and procedures, conducting risk assessments and preparing annual compliance reports.
Ms. Garvey has worked in the industry for over 25 years and has a strong background in broker/dealer and investment advisory regulatory compliance. Prior to joining Foreside, Ms. Garvey provided compliance consulting services to registered investment advisors, broker/dealers, and registered investment companies in various capacities, including Chief Compliance Officer responsibilities for several SEC registered investment advisors and registered investment companies.
She holds the designation Investment Adviser Certified Compliance Professional (IACCP) from National Regulatory Services, Inc.