Ms. Horne serves as the Compliance Consultant for ShoreBridge Capital Securities, LLC and ShoreBridge Capital Management, LLC, the firm’s broker/dealer and registered investment adviser, respectively. In this capacity, she is responsible for the supervision and oversight of the firm’s regulatory compliance efforts.
With nearly 14 years of industry experience as a compliance professional in the financial services sector, Ms. Horne has completed thousands of mock regulatory exams, led firms through the IA and BD registration process and developed robust control and operational frameworks for a variety of financial institutions, including introducing broker/dealers, clearing agencies, registered investment advisers, private funds and investment banking firms
Ms. Horne received her B.S. degree in Business Marketing and Finance from California State University of Long Beach. She is a Certified Anti-Money Laundering Specialist (CAMS) and holds a designation as an Investment Adviser Certified Compliance Professional (IACCP). Ms. Horne currently holds FINRA Series 7 and 24 registrations.