Heading into what will certainly be a challenging year for small broker/dealers full of new regulations, the National Association of Independent Broker/Dealers (NAIBD) has recruited two industry veterans to its Board of Directors.
Tina Maloney, chairman and owner of Winslow, Evans & Crocker, Inc. based in Boston, Mass., and Carolyn May, co-CCO and advisory director for Simmons First Investment Group in Little Rock, Arkansas, have joined 11 other NAIBD Board members. Maloney has a variety of experience in management, sales, compliance and administration after working with both small and large firms since 1979. She is active in the broker/dealer community through various speaking engagements and association involvements, including serving as the elected North Region Representative on the FINRA Small Firm Advisory Board and involvement with other various FINRA committees over the past several years.
May has been a compliance consultant to broker/dealers, investment advisors, CPAs and attorneys for over 27 years. Prior to becoming a consultant, her experience included acting as chief compliance officer and chief financial officer for several regional and local small firms (both self-clearing and introducing). She currently serves as the Southern Regional Representative to FINRA’s Small Firm Advisory Board, has participated on various FINRA committees since 2005 and is an active participant in several other industry organizations.