Stacy B. Dang
Chief Compliance Officer
Stacy B. Dang began her career in financial operations and compliance in 1997 at a boutique asset management firm in San Diego, CA. After that, she switched her focus to a day trading firm called ProTrader Securities Corporation, managing supervisory branches located in Greenwich, CT, and Dallas, TX. In 2003, she moved to Chicago and continued to hone her skills in operations and compliance, first as a Compliance & Operations Manager at S4 Capital, LLC and then as a Vice President, Compliance Officer at Envestnet Asset Management, Inc. Most recently, Stacy was a Director of Compliance at a dually registered fixed income broker/dealer and registered investment advisor, Performance Trust Capital Partners, LLC, and at its affiliated advisory firm, PT Asset Management, LLC.
Stacy’s experience includes developing and managing internal controls, securities trading, capital markets, investment banking activities, coordination of SEC & FINRA audits, review of marketing and advertising materials, and consultation on regulatory issues related to mutual fund and hedge fund administration. Stacy earned her Bachelor of Science degree in Management Science from the University of California, San Diego. She holds Series 4, 7, 9, 10, 24, 27, 55, 63, 65 & 99 licenses.
Contact Stacy Dang
Direct Dial: 312.432.6552