Ashley Drury is a Senior Consultant with the BD/RIA practice at Bates Group. She has 30 years of industry experience with a focus in Broker/Dealer Supervision and Compliance. In addition, Ashley was an AML officer at a large insurance Broker/Dealer. She has extensive experience with variable annuity supervision and compliance. Ashley has managed broker/dealer operations teams, compliance teams, worked in a sales capacity, and traded equities, options, and bonds at several firms.
Ashley is a consultant and subject matter expert in these Practice Areas and Services:
-
Compliance Solutions
- Broker-Dealers
- Anti-Money Laundering
Credentials
EXPERIENCE
BATES GROUP Senior Consultant 2024 – present
PRINCIPAL SECURITIES, INC. Compliance Advisor 2022 – 2024
LPL FINANCIAL Complex Product Supervision Manager 2012 – 2022
Independent Contractor 2011 – 2012
LPL FINANCIAL Senior Designated Principal / Lead Branch Examiner 2008 – 2011
TIAA – CREF Compliance Officer / AML Officer 2001 – 2008
EDUCATION
BACHELOR OF ART (B.A.) General Studies, University of New Orleans
PROFESSIONAL QUALIFICATIONS
FINRA Series 4, 7, 24, 53, 63, and 66
LIFE AND HEALTH INSURANCE LICENSE
CERTIFIED ANTI-MONEY LAUNDERING SPECIALIST (CAMS) CANDIDATE