The New England Broker/Dealer and Investment Adviser Association, Inc.


Incorporated in 1997, the purpose of NEBDIAA is to provide a forum for the professional exchange of information among investment advisers, broker dealers, and persons who provide services to investment advisers and broker dealers, and to direct communication among its members which will improve their ability to serve the needs of their respective clients. The forum helps members navigate an increasingly complex and ever-changing regulatory landscape. NEBDIAA is a non-profit organization.


Attend four seminars per year and be a part of the community of compliance professionals.

NEBDIAA meetings take place quarterly at the Federal Reserve Plaza, 600 Atlantic Ave., Boston, MA. Meetings are from 12pm-2pm and include lunch.

Annual Membership Dues: $125 per person, Guest Fee (must be sponsored by a member): $35

Upcoming Meetings

Save the Date for the Spring NEBDIAA Quarterly Luncheon Meeting
April 9, 2018
Details to follow


NEBDIAA Members can register for the program by emailing


NEBDIAA Board of Directors:

Kara Brown, Counsel – Sidley Austin LLP
Michele Riggs, Senior Compliance Administrator – Adviser Compliance LLC
Tanya Kerrigan, General Counsel & CCO – Boston Advisors, LLC
EJ Yerzak, Partner – Ascendant
Peter Guarino,
Mike Timmermans, Assistant CCO – Longfellow Investment Management
David Vallon, Senior VP, CCO – Natixis Global Asset Management
Larry Kaplan, Managing Director – CBIZ Tofias
Joshua Cook, AVP & Senior Counsel – John Hancock

With questions or for more information,
please email,
visit our LinkedIn group, or call 860-435-2255.