Compliance & Operations Manager
Molly joined Higgins & Schmidt Wealth Strategies in 2014 as an Associate Financial Advisor and holds her Series 7 and Series 66 licenses. Her primary duties in her current position of Compliance & Operations Manager include directing our trading systems, running the on-boarding process for new clients, providing support to Steve and Allie in developing and implementing strategies and customized advice; and keeping our firm compliant with FINRA and SEC laws and guidelines. Over her years with the firm, Molly has overseen and executed dozens of projects, from the small-scale (how do we fix the printer?) to those that have changed the DNA of our firm (our transition to an RIA in 2017 and our firm’s registration with the SEC in 2020). Her diligence and attention to detail is a crucial part of every process in our firm.
Molly got her start in the financial industry by working as a financial advisor with Edward Jones Investments. She also has several years of experience working for a family-owned independent insurance agency.
Molly grew up in central Minnesota and is a graduate of the College of Saint Benedict in Saint Joseph, Minnesota, and now lives in north Denver with her husband and daughter. When not in the office, she can usually be found on the sidelines of her daughter’s soccer games, in a yoga studio, skiing with her family, or cooking something new with a glass of wine on a Sunday afternoon. Her favorite mornings involve some sort of combination of her Peloton, black coffee, her golden retriever, and extensive bookshelf and podcast queue.
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