Connie is the Chief Compliance Officer (CCO) for SVA Plumb Wealth Management, LLC. She is responsible for implementing and overseeing the compliance program which includes completion of SEC filings, examination oversight, and policy development and administration.
With over 29 years of experience in the financial industry working in various capacities Connie has acquired a broad base of knowledge that is needed to stay on top of the ever-changing regulations that impact the advisory firm.
In addition to her responsibilities as CCO for SVA Plumb Wealth Management, Connie also is the CCO for an affiliated advisory firm and its proprietary mutual funds. As a result, she has gained experience and knowledge in the operation of an investment company including fund administration, board meeting preparation, and preparation of shareholder documents. Prior to moving to Madison, Connie worked for the federal government as a county clerk from 1986-1987.