Compliance Team

Anne Buckley is the General Counsel of the Firm and Chief Compliance Officer for the Equity Research and Sales Division.  Anne also is the President of her compliance consulting company - Saro Partners & Co..  Anne has nearly 30 years of experience in the legal compliance area for financial service companies.  Most recently she was the General Counsel for Detwiler Fenton Group, Inc. and its subsidiaries and the Chief Compliance Officer and AML Officer for Detwiler Fenton Investment Management, LLC (an SEC registered investment advisor), Detwiler Fenton & Co. (a broker-dealer) and Detwiler Fenton Wealth Management, Inc. (a broker-dealer).   Since 2012, Anne has been supporting the compliance initiatives of non-affiliated SEC registered advisors, private equity firms and investment management advisors, companies including John Hancock and H.C. Wainwright Anne holds a J.D. from New England School of Law and a B.A. from the University of Massachusetts and is a member of the Massachusetts Bar.  She has attained her IACCP designation and completed the FINRA Institute at Wharton Certified Regulatory and Compliance Professional (CRCP) program.  Anne holds her Series 4, 7, 24, 27, 63, 79 & 99 - Check out this investment professional on FINRA BrokerCheck.

Contact:  abuckley@arthurwood.com

Mallory Root is the Legal and Regulatory Coordinator for the Equity Research and Sales Division.  Mallory is also a Compliance Consultant for Saro Partners & Co. Mallory has nearly six years experience in the financial service industry.  Most recently at Loring, Wolcott & Coolidge where she was the Internal Compliance Auditor.  Prior to Loring, Wolcott & Coolidge, Mallory was a Compliance Associate at Detwiler Fenton & Co.  Mallory holds a B.S from Siena College.  

Contact:  mroot@arthurwood.com