Arlene WilsonExpert Witness

Arlene Wilson has more than 30 years in the financial services industry spanning compliance, operations and broker-dealer financial reporting requirements associated with SEA Rule 15c3-1 and SEA Rule 15c3-3. She has significant brokerage firm experience.

Her prior positions and industry experience includes:

  • Chief Compliance Officer at D.A. Davidson & Co.
  • CFO and Director of Compliance both at a clearing and executing services subsidiary of Oppenheimer Funds, Inc., as well as a full service and clearing brokerage firm
  • Senior Examiner for NASD (now FINRA) where shes served on Financial Responsibility, Self-Compliance & Services and chaired District 3, as well as NAC Western Region and District 3 Nominating committees
  • Serving as a CPA with a public accounting firm

Ms. Wilson has been a member of SIA / SIFMA C&L Committee for more than 20 years, and has served on their Society Executive, Annual Seminar Planning, Day Chair, and Regional Firms committees. She often presents at SIFMA, FINRA and NRS conferences, and has held Series 7,24,27 and 63 securities industry licenses.

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