Carie Heckler
About Carie Heckler
Carie Heckler: Chief Compliance Officer
Carie Heckler serves as the Chief Compliance Officer. With extensive experience in the financial services industry, she ensures that all company operations comply with the necessary regulatory requirements. Her role involves developing and overseeing compliance programs, policies, and procedures. Carie's firm leadership and deep understanding of regulatory frameworks ensure robust compliance measures are in place.
Carie Heckler's Financial Services Industry Experience
Carie Heckler has been a professional in the financial services industry since 2000. Her career spans over two decades, during which she has acquired substantial expertise in compliance and regulatory affairs. Her experience is marked by a series of progressively responsible roles, demonstrating her commitment and depth of knowledge in financial regulation and compliance.
Chief Compliance Officer at WFG Advisors, LP
Carie Heckler served as the Chief Compliance Officer of WFG Advisors, LP, an SEC registered investment adviser. In this role, she managed compliance programs and ensured adherence to regulatory requirements. Her leadership was crucial in maintaining the firm's integrity and trust within the investment advisory domain.
Professional Tenure at AXA Advisors
During her seven-year tenure at AXA Advisors, Carie Heckler managed and supervised 30 branch compliance professionals. She supported thousands of sales associates across 20 branches, covering the western half of the United States. Her responsibilities included overseeing compliance operations and ensuring that branch activities conformed to applicable regulations.
Early Career at Texas State Securities Board
Carie Heckler began her career as an Investigator with the Texas State Securities Board Inspection and Compliance Division. In this role, she participated in several onsite exams of registered broker-dealers within Texas. This early experience provided her with a strong foundation in securities regulation and compliance practices.