Michele Singh

Vice President, Compliance

Michele Singh is an experienced professional in the financial services industry with a strong background in compliance. With over 20 years of experience across various sectors including Fintech, Broker Dealer, Investment Advisor, Alternative Investments, Wealth Management, Banking, and Retirement Plan industries, Michele possesses extensive knowledge of federal securities laws, rules, regulations, and policies & procedures. Michele has played a key role in creating, implementing, and enforcing broker dealer compliance programs.

She holds the FINRA Series 7, 24, 63, 99 professional licenses and has a Bachelor of Science degree from California Polytechnic State University, San Luis Obispo, CA.

Interesting Facts About Michele

• Her kids convinced her to ride the Big Dipper and the Double Shot! at the Santa Cruz Beach Boardwalk.
• On weekends, you can find her cheering her heart out for her kids at whatever sport is in season.
• When she does have a moment to herself, you can find her reading.