Marleen Scheffy is the Chief Compliance Officer of Mason & Associates. In this capacity, she ensures that the firm is in compliance with SEC rules and regulations. She has more than 35 years’ experience in the Securities Industry and during that time she has been associated with a number of financial services firms in various management roles.
Marleen currently also serves as Chief Compliance Officer for two other registered investment advisors, David S. Reinders, CFP®, Inc. and Hawley Advisors. Most recently, she also was Chief Compliance Officer and Principal with Perlinski & Associates, a broker/dealer specializing in mergers and acquisitions and corporate finance. In addition to her Chief Compliance Officer role with these firms, she consults with other registered investment advisers on an as needed basis.
Previously, Ms. Scheffy served as Chief Operating Officer of Associated Securities Corp. where she was in charge of broker/dealer operations, trading, compliance and supervision. She also was in charge of the firm’s two registered investment advisors. Marleen was a Vice-President in the Wealth Management Group of Sanwa Bank. She spent nine years with FINRA (formerly the NASD) the self-regulatory organization for the brokerage industry, where she was a Supervisor.
Marleen holds a BA degree in Business Management from Colorado Women’s College where she graduated Summa Cum Laude. She also holds a Certificate in Executive Management from Claremont Graduate University. Marleen holds a Series 65 license.
Marleen is a past member of the Southern California Compliance Group, the National Society of Compliance Professionals and the FPA. She also served on the Operations Council of the Financial Services Institute.