Mary English brings the LeGaye Law Group over 19 years of compliance and regulatory financial experience in the financial services industry. That knowledge was gained while providing compliance, management and financial support the broker-dealer and investment advisory clients of a well-respected compliance consulting firm located in Dallas Texas.
Mary English provided the following administrative, management and financial services support for investment advisers and broker dealers located throughout the United States:
- Web CRD Administrator (registration and renewals)
- Annual Audit Filings
- Disclosure Events and Customer Complaint Filings
- Advertising Regulation Electronic Filings
- 3230(c)(3) Notifications Regulatory Notifications
- Financial Reporting
- FINRA Contact System
- Compliance Exams and Web IR filings
- Continuing Education
- Initial broker-dealer registration filings
- Initial investment adviser registration filing
Additionally, prior to joining the compliance consulting group in Dallas, Mary had 12 years prior experience with a Certified Public Accounting Firm. While there, she obtained a broad accounting experience, including the management and preparation of monthly financials, payroll tax reports, reconciling bank accounts, and handling accounts payable and receivables for multiple clients.