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Ashley Plante

Ashley Plante

Compliance Coordinator

Previously, Ashley was an Investment Specialist at Merrill Edge which led her to develop a growing interest in the interpretation of SEC rules and FINRA policies. She will play a key role in the supervisory aspects of the firm. In her capacity, Ashley will work closely with advisors to approve trades and monitor business activities. She has a diverse background in the financial services and insurance industry, and received her bachelor’s degree in Finance from Rhode Island College. Ashley currently holds the Series 7 & 66 licenses and is looking forward to completing her Series 24 to allow her to further enhance her role in the firm.