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 (BA), 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)