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Dawn Bond and LaVerne Zellmann

Compliance Coaches  

Dawn Bond and LaVerne Zellmann
Dawn Bond and LaVerne Zellmann
Dawn Bond is Executive Vice President of Compliance Advisory Services, a consulting firm based in Atlanta, Georgia. Bond has been in the securities industry for over 14 years. She holds Series 7, 24, 63 and 65 securities licenses and has completed the study programs for the CFP® certification. Additionally, she is a paralegal and attended Kennesaw State University. Bond started her career in the securities industry with a financial planning firm in Minneapolis, Minnesota. There she served as Vice President of Client Services and oversaw compliance and the asset allocation process. After moving to Atlanta, Georgia, she worked for a large broker/dealer in the legal department and was promoted to RIA Compliance Director and Assistant Vice President of the broker/dealer. She has also assisted in the establishment and registration of a small broker/dealer and held the position of Chief Compliance Officer. Bond has served on the FPA Compliance Advisory Council for the broker/dealer division of the FPA.

LaVerne Zellmann, president of Compliance Advisory Services, formed an advisory services company in November 1996 to provide compliance consulting to Broker/Dealers and Investment Advisers. Zellmann joined forces with Dawn Bond to incorporate Compliance Advisory Services in February 1999. She has also been an instructor for BISYS Education Services Series 6 and Series 63 classes. Her industry experience includes 14 years with Financial Service Corporation/FSC Securities Corporation, ending with the position of Vice President, Chief Compliance Officer. LaVerne holds numerous professional accreditations, including Registered Options and MSRB Principal. She was an active member of the Financial Planning Association (FPA) and has served as Chairman of the Compliance Advisory Council. Zellmann is a graduate of the University of Georgia with a Bachelor’s degree in Education.

 
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