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Suzette M. Surman is Vice President of Investment Advisor Division for MGL Consulting Corporation. Ms. Surman has in excess of 25 years experience in the investment industry and her responsibilities include consulting with clients regarding registration of client firms with the SEC, and various state agencies as investment advisors, as well as SEC and state Reporting issues. Ms. Surman consults with clients regarding operational and recordkeeping issues effecting investment advisors. Ms. Surman is available to consult with clients regarding CCO obligation rules as well as conduct onsite home and branch office compliance examinations of investment advisors. Ms. Surman has experience handling regulatory investigations and examinations involving firms and or their agents by federal and or state regulatory agencies which includes oversight of the examination process, resolution and negotiation of administrative disciplinary actions and coordination with legal counsel on formal enforcement actions.Prior to joining MGL Consulting Corporation, Ms. Surman spent six years with Daniel Breen & Company, L.P., a registered investment advisor, where she was responsible for coordination of presentations and meetings with advisory clients and prospective clients. She generated client meeting exhibits, tracked market indices and charted selected economic data for brochures and presentations.She acted as liaison between private client accounting, mutual fund accounting, client services and product information departments. Ms. Surman was a team member responsible for preparation of monthly and quarterly reports to clients, processed and voted proxies and handled consent forms for discretionary clients. She reviewed proxy analyses, priced all investments and tracked daily performance of investments. Prior to joining Daniel Breen & Company, L.P., Ms. Surman was a trader’s assistant for three years with Lovett, Underwood Neuhaus & Webb, Inc. where she was responsible for processing transactions with eight institutional traders. Prior to Lovett, Underwood Neuhaus & Webb, Inc. she was a wire operator and new accounts coordinator for E. F. Hutton & Company, Inc. | 