Tammy Patel
Tammy Patel (“Tam”) joined Solid Regulatory Risk Management Services, Inc. (“Solid”) as Director of Consulting in 2018. Tam has an extensive compliance background with more than 35 years in the financial services industry. Prior to joining Solid, Tam was employed for more than 10 years as a Senior Consultant with National Regulatory Services “NRS”, National Audit Manager managing the U.S. Audit/Exam Divisions for both Market Counsel/Hamburger Law Firm and Brecek & Young Advisors, Inc and has served as both a Regional Compliance Officer and an Interim Chief Compliance. Rounding out her experience, she has also served as the Director of Trading and Trade Surveillance for a regional dual registrant and a Senior Auditor for a large dual registrant. Throughout this time, Tam obtained a M.S in Jurisprudence law degree from Seton Hall University, has previously held the following industry licenses, series 7, General Securities Representative, series 8, (9 & 10) General Securities Sales Supervisor, series 24, General Securities Principal, series 63, Uniform Securities Agent State Law Examination, and 65, Uniform Investment Adviser Law Examination. As well as having obtained the above noted law degree, Tam obtained a Bachelor of Arts Degree in Business Administration from Regent University.