Ashley Plante
Compliance Coordinator
Ashley Plante
Compliance Coordinator
I support our growth by working directly with the compliance and marketing teams to assist with advertising reviews in a compliant and timely manner. Working collaboratively to maintain open lines of communication, we strive for the continuous success of our advisors and the firm. Additionally, I assist the compliance team with maintaining records and filings to ensure proper documentation storage.
Our success allows me to connect with team members across the country to build relationships and create an environment where advisors and team members feel supported in the success of their business. In pursuit of developing my specialization in the oversight and supervision of marketing materials, I now have a strong understanding of regulatory requirements and industry best practices to ensure all materials meet the highest of compliance and transparency standards.
My professional background includes a diverse range of work experiences from the insurance industry to working in the corporate space. I graduated from Rhode Island College with a degree in Finance and quickly found my niche in the compliance and supervisory landscape.
Rounding out my life, you can find me at the best local restaurants – exploring new places and cuisines is one of my favorite things to do!!!
Advisors associated with Integrated Financial Partners may be either (1) registered representatives with, and securities offered through LPL Financial, Member FINRA/SIPC.., and investment advisor representatives of Integrated Wealth Concepts; or (2) solely investment advisor representatives of Integrated Wealth Concepts, and not affiliated with LPL Financial. Investment advice offered through Integrated Wealth Concepts, a registered investment advisor. Integrated Wealth Concepts and Integrated Partners are separate entities from LPL Financial.
InTouch Innovations and LPL Financial are separate entities.
CRPC conferred by College for Financial Planning.
The LPL Financial registered representative(s) associated with this website may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state.