Compliance Team

 

Brian Ferrie, CPA, CFA, Principal - Compliance & Finance

Brian Ferrie, CPA, CFA, Principal Brian Ferrie, CPA, CFA, Principal - Compliance & Finance, joined the firm in 2003. He received his BBA from the University of Texas with a major in Accounting. He is a Chartered Financial Analyst (CFA) charterholder and a Certified Public Accountant (CPA). Brian has over 25 years of experience in accounting, compliance and financial services, serving as Chief Financial Officer and Chief Compliance Officer for Berger Financial Group, LLC, investment advisor to the Berger Funds. Prior to that, he served as Director of Internal Audit and Chief Compliance Officer for U.S. Global Investors, investment advisor to the United Services Funds.

 

Jennifer Ottosen, Manager - Compliance

Jennifer Ottosen, Compliance Manager

Jennifer Ottosen, Manager - Compliance, joined the firm in 2007. She earned her BS in Accounting from the University of Southern California and her JD from the University of Miami. Jennifer joined Jensen from the United States Securities and Exchange Commission ("SEC") where she held the position of Securities Compliance Examiner. In that role, Jennifer conducted examinations of registered broker-dealers, investment advisors and an investment company for compliance with the federal securities laws. Jennifer was also an attorney with the SEC in the Divisions of Market Regulation and Enforcement. Prior to the SEC, she was a Compliance Officer with Western Asset Management Company. Jennifer also held various Auditor roles at KPMG Peat Marwick and Farmers Insurance Group of Companies.

 

 

 

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