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Many investment professionals who work with socially conscious investors often feel "alone against the world."  Those who specialize in SRI, get up every morning to continue the uphill trek against "conventional wisdom."  First Affirmative Financial Network hosts regional BaseCamps tailored to meet the needs of these brokers, planners, and advisors. For mountain climbers, a base camp is a place to rest and resupply before returning to their journey up the mountain. We offer such a respite once a year in the five markets where we host BaseCamps, complete with timely topics of interest to clients, expert speakers, and updates from mutual fund companies. 12.09

Friday, October 24, 2008 2:10 PM - 3:10 PM
Room: Frontenac A

Speaker(s)
Kathy Sutherland

Description
All First Affirmative Investment Advisory Representatives (IARs) have a requirement for an annual Compliance Meeting and review of USA Patriot Act and anti-money-laundering provisions. This session will be designed to meet all necessary requirements.

Speaker Biographies
Kathleen J. Sutherland is Vice President, Director of Operations and Chief Compliance Officer for First Affirmative Financial Network, LLC. She has held Series 7 (Registered Representative) and 24 (Registered Principal) licenses. Kathy joined First Affirmative Financial Network in 1990 as an administrative assistant. Combining administrative skills and knowledge of the business, she quickly assumed a much larger role and broader responsibilities, first as Operations Manager and then Assistant Branch Manager of the Walnut Street Securities, Inc. branch office. These duties included the conversion of client accounts to the FAFN division of Walnut Street Advisers, Inc. following the sale of FAFN. As Assistant Branch Manager, Kathy assumed a majority of the compliance supervision responsibilities for the FAFN field force while FAFN operated as a wholly owned subsidiary of Walnut Street (1995?1999). Born June 24, 1963 in Grand Rapids, Michigan, her father is a retired United Methodist Minister and her mother is a psychologist. Kathy graduated from the University of Colorado at Colorado Springs in 1986 with a Bachelor of Arts degree in English, specializing in Medieval Literature.