Charity joined Carroll Financial in 2017 and serves as our Compliance Manager. Her role is to ensure that advisors and their assistants comply with relevant industry laws, regulations and internal procedures. She seeks to stay current on the latest developments in industry regulation in order to educate staff and adjust company practices accordingly.
Originally from Pinehurst, NC, she received her Bachelor’s degree in Communications and Journalism from the University of North Carolina at Charlotte in 2012. Shortly after graduating, she was offered a position at an investment firm, where she discovered a passion for wealth management and compliance. She currently holds the Series 7, 66 and 24 securities registrations.