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Tracy Strelow, Consultant
Tracy began her financial industry career in broker-dealer compliance
and operations with the Minneapolis-based Residential Funding
Securities Corporation, the institutional broker-dealer to parent
company GMAC-RFC. She continued in securities compliance with
Piper Jaffray & Co. becoming Vice President and Compliance
Manager. During her tenure at Piper, she supervised seven
compliance officers and compliance staff for retail operations and
supervised compliance oversight for several business groups on the
institutional side. As Chief Compliance Officer for Nollenberger
Capital Partners she was responsible for developing and monitoring
the firm’s broker-dealer, investment banking and investment advisor
compliance programs. Tracy graduated from Mankato State University
with a Bachelor of Science degree in Business Administration and
Administrative Management. Tracy has held the following securities
licenses: Series 7, Series 9/10, Series 24, Series 63 and Series 87.
Tracy began her financial industry career in broker-dealer compliance
and operations with the Minneapolis-based Residential Funding
Securities Corporation, the institutional broker-dealer to parent
company GMAC-RFC. She continued in securities compliance with
Piper Jaffray & Co. becoming Vice President and Compliance
Manager. During her tenure at Piper, she supervised seven
compliance officers and compliance staff for retail operations and
supervised compliance oversight for several business groups on the
institutional side. As Chief Compliance Officer for Nollenberger
Capital Partners she was responsible for developing and monitoring
the firm’s broker-dealer, investment banking and investment advisor
compliance programs. Tracy graduated from Mankato State University
with a Bachelor of Science degree in Business Administration and
Administrative Management. Tracy has held the following securities
licenses: Series 7, Series 9/10, Series 24, Series 63 and Series 87.
PRACTICES
Consulting Group
Consulting Group
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