Cathy Vasilev


VP

Red Oak Compliance


Cathy Vasilev, Founding Member of Red Oak Compliance Solutions, brings more than 23 years of compliance and supervisory expertise in independent broker/dealers, wire-house broker-dealers, and RIAs. Cathy served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent broker/dealer and RIA. She was an Associate Manager for Prudential where she supervised 75 representatives, performing all compliance functions for the branch. She began her career as a stockbroker for Salomon Smith Barney and later moved to compliance and operations. Cathy has a Master of Business Management degree; is a member of the Association of Compliance Professionals; a member of National Society of Compliance Professionals; a member of Compliance and AML Professionals; and has FINRA Series 7, 24, 26, 63 and Life and Health licenses.


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