Brett Flansburg
Brett Flansburg is Vice President and Chief Compliance Officer of Ameriprise Financial' s clearing broker, American Enterprise Investment Service, Inc. (AEIS). AEIS is the clearing broker for all retail and institutional business introduced by Ameriprise Financial Service's network of nearly 10,000 financial advisors. Brett has over 20 years of financial services experience in various Operations and Compliance roles. Currently, Brett and his team are responsible for oversighting all broker dealer, investment advisory, and bank regulatory obligations and controls in Ameriprise's operations divisions, all lending and cash products, financial reporting, technology as well as the firm's compliance due diligence program focused on recruitment of experienced financial advisors. In addition, Brett leads Ameriprise’s records management program and surveillance teams. Brett previously led Ameriprise's AML and Anti-Fraud departments.
Brett holds the FINRA Series 4, 7, 24, 27, 63 and 79 registrations. In addition, Brett currently services on the FINRA Midwest Regional Committee since 2018 and also holds the FINRA Certified Regulatory and Compliance Professional (CRCP) certification.
3b. ALL - Financial Considerations for your Compliance Program (Basic)