ALEXIS VANDEN BOS

Compliance

Alexis is a compliance consultant providing services to RIA Innovations. She has over 30 years of experience in the financial industry with both broker-dealers and registered investment advisers. Her broad experience covers a wide variety of areas including sales, operations, supervision and compliance. 

Prior to consulting, her previous role was as the Chief Compliance Officer of a dually registered broker-dealer and investment adviser. She has worked closely with regulatory authorities, Federal, State and FINRA, while managing regulatory audits and inquiries for both broker-dealers and registered investment advisers.  She is a past elected member of the FINRA District Committee and still serves on FINRA disciplinary hearing panels.  Alexis also competes nationally and internationally in the sport of Lawn Bowling.

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NWAM, LLC, dba Northwest Asset Management and RIA Innovations is an SEC registered investment adviser.

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the CFP® certification mark, the CERTIFIED FINANCIAL PLANNER™ certification mark, and the CFP® certification mark (with plaque design) logo in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements. For additional information please click the following link here.