LuAnne M. Garvey
LuAnne M. Garvey is a Compliance Consultant at Hardin Compliance Consulting LLC. She has worked in the securities industry for more than 20 years and has a strong background in broker/dealer and investment advisory regulatory compliance.
Ms. Garvey specializes in the maintenance and registration of registered investment advisers and broker/dealers by performing compliance reviews, drafting compliance policies and procedures, and preparing annual compliance reports in an effort to create a comprehensive compliance program.
Prior to joining Hardin Compliance Consulting LLC, Ms. Garvey provided compliance consulting services to registered investment advisers, broker/dealers, and registered investment companies in various capacities, including Chief Compliance Officer for several SEC registered investment advisors and registered investment companies.
Ms. Garvey’s prior experience also includes working for other financial firms in various roles where she performed branch office inspections, advertising review, and registered representative processing and supervision.
Ms. Garvey holds her Series 7, 24, and 63 securities licenses.Back to Team Page