About
Board of Directors
Michele Riggs
Senior Compliance Administrator
Adviser Compliance
Peter R. Guarino
President, Chief Compliance Officer
Compliance4
Larry Kaplan
Managing Director at CBIZ & MHM in the Boston Accounting & Auditing Group
Carolyn Daley
Director of Compliance
Michael Timmermans
Principal, Assistant CCO at Longfellow Investment Management Co.
Tanya Kerrigan
Vice President and Assistant General Counsel, Boston Advisers, LLC
EJ Yerzak
Director of Cyber IT Services at Compliance Solutions Strategies
Allison Fraser
Director - Registered Investment Companies at Compliance Solutions Strategies
Rebecca Babbitt Chafe
Vice President, Compliance Consultant - Institutional Client Group at State Street Global Advisors
Assistant to the Board
Elizabeth (Lisa) Guarino
The New England Broker Dealer Investment Adviser Association (“NEBDIAA”) provides its members a trusted forum to network and share regulatory and financial related best practices and information among legal and compliance professionals.
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): $20
Our Mission is
Our Mission
The New England Broker Dealer Investment Adviser Association (“NEBDIAA”) provides its members a trusted forum to network and share regulatory and financial related best practices and information among legal and compliance professionals.
Our Vision
The New England Broker Dealer Investment Adviser Association (“NEBDIAA”) provides its members a trusted forum to network and share regulatory and financial related best practices and information among legal and compliance professionals.