1. Elizabeth J. Kassen
207 Sunnyview Ave. #A, Friendswood TX 77546- 402-770-1132
sadl1up@msn.com
Career Focus:
Compliance.
Expertise in enforcing FINRA rules and regulations while creating a
learning environment.
FINRA Series 7, 63, 4, 9 & 10, 24, 53, & 66
Experience:
05/04/15 -Current - Administrative Manager - Bank of America/ Merrill Lynch
11/18/2013- 05/03/2015– Compliance Analyst – NEXT Financial
Responsible for researching complaints and report analysis to General Counsel for
determination, writing Letters of Indemnity for vendors and Registered
Representatives.
02/14/12-11/18/2013 - Home Office Principal – NEXT Financial
Perform suitability reviews on VAs and REITs. Manage OSJ offices regarding
procedures and regulations and serve as the contact for them concerning policies
and procedures.
02/2011- 02/12 – Registered Sales Assistant – Lifestyle Financial Advisors
Review files and records among other documentation to obtain information and
respond to requests. Ensure Advisors are keeping review schedule with clients and
assists in that.
11/2009- 02/2011- SR IRA Specialist – Mutual of Omaha Bank
Managed projects and served as primary liaison between clients and bankers to
ensure IRA requirements were being met. Computed, recorded, and proofread data,
records and reports. Conducted branch and banker training as needed.
07/07– 04/2009 – Suitability Analyst – Allstate Financial Services
Review Variable Annuity and Mutual Fund trades from field representatives for
suitability according to FINRA, SEC and Allstate Financial Services guidelines.

2. 2005- June 2007 -Compliance Officer- John Hancock Financial Services -Ballwin
MO
Agency Compliance Officer for RRs in that office. Ensured books and records were
being kept according to FINRA and Firm regulations. Served as the principal for
approval of new business. Ensured compliance with continuing education.
2002 – 2005 Compliance Officer-First Financial Planners - Chesterfield MO.
Examined books, records of our independent representatives’ offices throughout
the country. Focus on educating the independent representative on the
requirements expected of FINRA and of the broker dealer. Additional
responsibilities include: Being responsible for reviewing all advertising and
correspondence.