Dan Lonergan

Compliance Consultant - Dan advises Vickery Creek (on an as needed basis), in the areas of NASAA, SEC, and FINRA compliance. His primary areas of specialty are: Form ADV submission, the oversight of written supervisory procedures, the performance of mock regulatory audits, assistance with regulatory examinations/responses, and ongoing compliance and regulatory consulting for virtually any facet of a registered investment adviser's regulatory framework.  Dan has been in financial services compliance for over 30 years.