Working with other employees at Oyster that have different expertise allows me to provide better service to my clients, no matter their need.
Candy Palugi is a Financial Services professional with over 20 years of industry experience. Candy has extensive expertise in broker-dealer and RIA regulation, including FINRA, SEC, MSRB, DOL and state agencies. Her expertise also includes firm merger/acquisition process management and controls testing. Prior to working with Oyster, Candy served in various Compliance roles for B. Riley Wealth Management, a dually registered broker-dealer and investment advisory firm. Candy also served as Assistant Vice President, Product Manager and as Registered Options & Securities Futures Principal for Morgan Keegan & Co.
- Chief Compliance Officer for Registered Investment Advisors
- Compliance support for Registered Investment Advisors and broker-dealers, including calendar and manual
- Complete compliance program development and maintenance to include calendar, manuals, and risk/control monitoring and testing for broker-dealer and investment advisory firms
- Firm acquisition/merger process management
- Conducts required regulatory filings including ADV, Form BD, Form CRS, 13F, 4530, U4/U5
- WSP development, evaluation and annual testing under Rule 3120
- Investment advisory policies, procedures and internal controls development, evaluation and annual testing under SEC Rule 206(4)-7
- Oversees start-to-finish regulatory examinations by FINRA, SEC, State Examiners
- Regulation Best Interest implementation with Form CRS development
- Development and tailoring of policies, procedures and training for firms to comply with the DOL PTE 2020-02
- Establishes annual employee firm-element training program
- Evaluates and recommends operational process improvements
- Manages customer complaint and arbitration process
- Evaluation and testing of AML/KYC program; third-party examination
- Deputy Chief Compliance Officer, B Riley Wealth Management
- CCO, Investment Advisory and Compliance Officer, Broker-Dealer Compliance, B. Riley Wealth Management
- Associate Vice President, Product Manager, Wealth Management Services, Morgan
Keegan & Co.
- Registered Options & Securities Futures Principal, Compliance Administrator, Morgan Keegan & Co.
- Registered Sales assistant, Morgan Stanley
- Assistant Vice President, Branch Operations Manager, Wachovia Securities, LLC
(Prudential Securities, Inc.)