Robert Creaser
Consultant
Robert Creaser has worked in the financial services/compliance field for over 16 years. He currently consults broker dealers and investment advisers on regulatory compliance and provides FINOP services. Previously with Financial West Group (FWG), Westlake Village, CA as chief compliance officer, his position covered both the broker dealer and investment advisor. Prior to joining FWG, Mr. Creaser served as chief compliance officer of Richmond Hillcrest & Company (in 2004 became Morgan Peabody) and as senior compliance specialist for UnionBanc Investment Services LLC. MR. Creaser began his securities industry career in 1994 with the Financial Regulatory Authority (FINRA, formerly known as NASD). As a senior compliance examiner, he conducted numerous examinations, special investigations, and enforcement directives. Rob received his Bachelors of Science degree in Business Administration, Real Estate and Finance from California State University, Northridge. He holds his Series 4, 7, 24, 28, 53, 63, and 79 licenses.

Jeffrey Cannizzaro
Consultant
Mr. Cannizzaro consults broker dealers and investment advisers on various issues regarding SEC and FINRA regulations, assists in the preparation for regulatory audits and consults on business issues as they relate to compliance. Most recently serving in such capacities as a Chief Compliance Officer and a Chief Risk Officer, Mr. Cannizzaro has over 15 years of industry compliance experience and has spent his entire career working in compliance departments for large, complex investment advisers and broker dealers, most recently in an executive capacity. During his career he has developed both compliance and operational procedures that are uniquely designed to marry compliance requirements with the operational needs of an efficient business. Mr. Cannizzaro has worked for some large institutional firms and smaller sized firms as well, thus he understands that compliance solutions need to be grounded in reality and that it needs to be practical and resource appropriate for each firm. Mr. Cannizzaro holds the Series 7, 9, 10, 24 and 63 designations. Mr. Cannizzaro has a Bachelor of Arts degree in Economics with a concentration in Finance, from the University of Connecticut.

Dustin Rothlisberger
Consultant
Dustin Rothlisberger currently consults investment advisers and broker dealers on SEC, FINRA and state regulatory compliance matters. Prior to joining ComplianceWorks, Mr. Rothlisberger worked at NRS/ComplianceMAX as a consultant in San Diego, California. Mr. Rothlisberger's responsibilities included consulting investment advisers and broker-dealers on SEC, FINRA and state regulatory compliance matters. Mr. Rothlisberger has developed an expertise in working with state registered investment advisers and the unique issues and problems they face. Mr. Rothlisberger has attained the Investment Adviser Certified Compliance Professional (IACCP) certification. Mr. Rothlisberger attended the University of California Santa Barbara and the University of Redlands where he earned his Bachelors of Science degree in Business Administration from the Redlands School of Business.

Shelley Lightfoot
Business Development/Consultant
Ms. Lightfoot consults investment advisors and broker dealers on compliance and operations issues and assists in the preparation for regulatory audits. Ms. Lightfoot has 22 years of industry experience that includes the positions of Operations Manager, Compliance Officer and Vice President of Investments for a dually registered investment advisor and broker dealer.

During her 5 year tenure with Banc of America Investments, Inc., Ms. Lightfoot's experience included branch management, regulatory compliance audits, sales supervision, business plan coaching, operational efficiency and national policy review. Prior to that, Ms. Lightfoot held various management positions with Prudential Securities, DST Systems and George K. Baum & Company in Kansas City, MO.

Over the years, Ms. Lightfoot has also participated in the management of several company mergers and acquisitions, numerous financial advisor transitions, training and development programs, back office automations, and served on Prudential's Operations Manager Advisory Council for over 3 years. Ms. Lightfoot currently holds FINRA licenses for the Series 7, 8, 63 and 65 designations.