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Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Donna provides compliance consulting services to multiple firms, including Bates Group LLC, Complier Consulting Services LLC, Patten Training & Review, LLC, spending a few hours per week on each. She also serves as Chief Compliance Officer for Hancock Whitney Investment Services Inc, dedicating a few hours per week to this role as well.