About

Board of Directors

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Michele Riggs

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Senior Compliance Administrator

Adviser Compliance

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Peter R. Guarino

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President, Chief Compliance Officer

Compliance4

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Larry Kaplan

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Managing Director at CBIZ & MHM in the Boston Accounting & Auditing Group

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Carolyn Daley

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Director of Compliance

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Michael Timmermans

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Principal, Assistant CCO at Longfellow Investment Management Co.

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Tanya Kerrigan

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Vice President and Assistant General Counsel, Boston Advisers, LLC

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EJ Yerzak

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Director of Cyber IT Services at Compliance Solutions Strategies

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Allison Fraser

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Director - Registered Investment Companies at Compliance Solutions Strategies

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Rebecca Babbitt Chafe

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Vice President, Compliance Consultant - Institutional Client Group at State Street Global Advisors

Assistant to the Board

Elizabeth (Lisa) Guarino

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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.

JOIN US!

 

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.

Join NEBDIAA