Meet Amy

Amy is a seasoned financial services professional with more than 28 years of experience in office management, financial services administration, compliance oversight, and advisor support. She has demonstrated leadership in branch inspections, advisor training and practice oversight, compliance program development, supervisory and OSJ support, regulatory exam preparation, and process improvement.

Prior to joining Essential Edge, Amy served as Manager of Branch Inspections and Compliance Generalist at Independent Financial Group. In this role, she spearheaded the redesign of the branch inspection program and implemented the 2024 FINRA Remote Inspection Pilot. Amy developed and managed the annual inspection schedule for both remote and onsite inspections. She also supervised and mentored a team of inspectors, conducted regular coaching sessions, and served as a compliance resource for advisors and home office staff on complex regulatory matters. Additionally, she oversaw the use and optimization of the RegEd platform.

Previously, Amy conducted branch inspections at Commonwealth Financial Network, where she spent seven years as a Compliance Generalist and Branch Auditor.

Before that, as a Client Service Manager at the Cetera OSJ Branch in San Diego, Amy prepared and submitted new client account and servicing paperwork. As an OSJ Delegate, she reviewed and approved account paperwork, and supported the OSJ Branch Manager in preparing documents for annual branch inspections. Amy also prepared insurance quotes and payroll, and managed advertising submissions for home office review.

Earlier in her career, Amy spent 14 years in Madison, Wisconsin, at Baker and Launder Financial Services as a staff accountant and registered client service associate.

Amy holds FINRA Series 7, 66, 24, and 53 licenses.

Outside of work, Amy enjoys spending time with her husband, Stephen, and their rescued Doberman Pinscher, Mayzee. She also likes exploring new hiking spots in the San Diego area.