Janelle Aldridge Email & Phone Number | FINRA Registered Principal with 15+ years experience in financial services supervision and compliance. Securities registered Series 7, 24, 6, 26 and 66. Currently a Home Office Supervisor and Compliance Officer of Cantella & Co., a broker-dealer and registered investment advisor based in Boston. Conduct ongoing supervision of 50+ registered representatives, investment advisors, and home office personnel. Primary experience: Supervisory and compliance policies and procedures development, communication, training, and enforcement; Delegated on-site and home office supervisory principal for OSJs and individual registered and advisory representatives; Developing branch examinations and conducting audits; Establishing and maintaining positive internal and supervisory relationships; Liaising between field and internal customers; Customer complaint review and reporting; Testimony before FINRA and the SEC on behalf of the broker-dealer.

Janelle Aldridge

FINRA Registered Principal with 15+ years experience in financial services supervision and complianc...
United States

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Janelle Aldridge’s Location United States

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Janelle Aldridge’s Prior Industry Cantella | Royal Alliance Associates | Signator Investors | Metlife

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Home Office Supervisor

2019-10-01 00:00:00 - 2023-04-01 00:00:00

Regional Supervison Director

2018-11-01 00:00:00 - 2019-10-01 00:00:00

Supervision Analyst

2016-03-01 00:00:00 - 2018-11-01 00:00:00

Senior Compliance Analyst

2007-05-01 00:00:00 - 2009-07-01 00:00:00

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Janelle Aldridge is a FINRA Registered Principal with 15+ years experience in financial services supervision and compliance. Securities registered Series 7, 24, 6, 26 and 66. Currently a Home Office Supervisor and Compliance Officer of Cantella & Co., a broker-dealer and registered investment advisor based in Boston. Conduct ongoing supervision of 50+ registered representatives, investment advisors, and home office personnel. Primary experience: Supervisory and compliance policies and procedures development, communication, training, and enforcement; Delegated on-site and home office supervisory principal for OSJs and individual registered and advisory representatives; Developing branch examinations and conducting audits; Establishing and maintaining positive internal and supervisory relationships; Liaising between field and internal customers; Customer complaint review and reporting; Testimony before FINRA and the SEC on behalf of the broker-dealer.