Carla Montgomery is an RIA and BD Compliance Attorney with My RIA Lawyer. She works with our broker-dealer and registered investment adviser clients to:
- Review their policies and procedures
- Test their compliance program
- Conduct Annual Compliance Reviews and Mock Examinations
- Respond to routine regulatory inquiries and defense firms and advisers in regulatory investigations
- Conduct AML and OSJ Audits for broker-dealers
Carla most recently served as Assistant General Counsel at Primerica, where she served in various roles for the last nine years. She managed broker-dealer and general litigation filed against the firm, assisted in developing and implementing litigation strategy and responded to regulatory inquiries. She also investigated potential violations of firm and regulatory rules, facilitated individual and group compliance and product training for registered representatives, and identified trends and patterns in registered representative activity in order to prevent future regulatory issues and/or liability for the firm.
Carla was also responsible for regulatory filings and responding to regulatory inquiries related to investigations conducted. She has negotiated settlements for related customer complaints.
Carla is Series 7 and 24 licensed.