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Reeni

She bridges sales and compliance, building centralized oversight frameworks that protect firms while enabling sustainable revenue growth.

Veteran compliance and supervision professional with 28 years of experience in the financial services industry. Proven track record of building and leading regulatory programs that bridge the gap between sales and compliance. Recognized for strategic leadership in centralized supervision, suitability oversight, and regulatory examination management.

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Years of Experience

Broker

241 Projects

About Me

Boost Business Strategic Solutions with Us

In an era of increasing regulatory complexity, Susanne Marie Denby delivers the strategic compliance solutions that drive business growth—not hinder it. With 28 years of industry expertise and a distinguished career spanning top-tier financial institutions, Susanne transforms supervision from a cost center into a strategic business asset.

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Business Solutions

Transform regulatory compliance from a operational burden into a strategic advantage.

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Profit Partners

Partners with financial firms to unlock profit potential hidden within compliance operations

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    My Experience

    AVP of Supervision and Suitability at HTK (Hornor, Townsend & Kent, LLC) since December 2024

    Second Vice President, Sales Supervision at Ameritas from May 2022 to 2024

    Chief Compliance Officer at NFP Securities and SagePoint Financial

    Served on FINRA District Committee Six from 2013 to 2015

    My Education

    Series 63 License - State Securities Agent

    Series 65 License - Investment Adviser Representative

    CRD Registration #2617514 - FINRA Licensed Professional

    FINRA District Committee Six Service (2013-2015) - Industry Regulatory Leadership

    My Expertise

    Building and leading centralized supervision programs for broker-dealers and RIAs

    Navigating FINRA and SEC examinations with proactive compliance frameworks

    Supervision of Alternative Investments

    90%

    Overseeing suitability practices for real estate, oil & gas, forex, and other complex products sold by registered representatives

    Product Suitability Frameworks

    75%

    Ensuring proper vetting and compliance for high-risk investment offerings

    Regulatory Oversight

    80%

    Monitoring sales of non-traditional assets to protect firms and clients.

    Examination Readiness

    60%

    Preparing firms for regulatory scrutiny of alternative investment sales

    Risk Management

    100%

    Identifying and mitigating compliance risks in specialized product lines

    Clients Testimonial

    Bringing Dreams to Life through

    Angrew Bolar

    Volunteer

    We brought Susanne Marie Denby in at a time when our supervision and retirement planning processes needed serious structure. Within a relatively short period, things began to change. Our examination findings dropped significantly, and at the same time, we saw smoother operations that supported faster business growth. It wasn’t anything flashy just practical improvements that actually worked. She also helped us take a more organized approach to staff welfare and retirement readiness, especially for our care workers, which made a noticeable difference in confidence across the team.I was initially unsure, but the results spoke for themselves. It’s been a solid experience overall, and one I don’t hesitate to acknowledge.

    Clair E. Irving

    Farmer

    I was skeptical about crypto at first, especially after trying Bitcoin and XRP on my own without much success. My wife had a better experience and kept pushing me to speak with Susanne Marie Denby, so I gave it a shot.This is now my second investment cycle with her, and the difference is clear. Everything is more structured, and I actually understand what’s going on.

    Francisca Blasco Granchel

    UI Designer

    No solo me dio consejos de inversión. Comprendió la pesadilla que supone desenvolverse en el marco de la normativa financiera española y la volatilidad del mercado bursátil. Convirtió nuestra mayor debilidad regulatoria en una ventaja competitiva.

    Keil Jhonson

    Software Engineer

    Sie war ein absoluter Wendepunkt, besonders während der Pandemie, als alles zusammenzubrechen drohte. Ich fing klein an, nur mit 10.000 €, aber sie half mir, Ordnung zu schaffen und zeigte mir tatsächlich einen Weg aus diesem ständigen finanziellen Stress. Es ging nicht nur ums Investieren, sondern darum, endlich einen sinnvollen Plan zu haben. Was ich am meisten schätze, ist, dass Susanne einen nicht von oben herab behandelt oder einem unnötige Produkte aufdrängt. Sie hört wirklich zu. Sie erklärt die Dinge so, dass man sich gestärkt fühlt, anstatt verwirrt. Dank ihr verliere ich wegen der Marktschwankungen nicht mehr den Schlaf. Ich bin zum ersten Mal seit Jahren wieder zuversichtlich, was meine Zukunft und meine Rente angeht.

    Angrew Bolar

    Volunteer

    I’m going to be completely blunt because most people in the tech scene here in Berlin won't admit this I was drowning. On paper, I looked successful. I had a great role, solid stock options, and a high salary. But between the brutal German tax system especially the way they handle 'dry income' on options and a few bad moves in my own portfolio, I was actually losing money every month. I had over €300,600 tied up in things I couldn't touch, while my bank account was draining just to keep up with the cost of living.I was honestly at a point where I thought I’d have to leave Germany just to survive financially. That’s when I met Susanne Marie Denby.

    Theresa Webb

    UI Designer

    No se limitó a darme consejos sobre inversiones. Comprendió la pesadilla que supone desenvolverse en el marco de la normativa financiera alemana y la volatilidad bursátil. Convirtió nuestra mayor debilidad regulatoria en una ventaja competitiva.

    Keil Jhonson

    Software Engineer

    I don’t usually write testimonials, but I felt this was necessary.At a point when things were honestly not going well for me, I was introduced to Susanne Marie Denby. To be sincere, I was a bit skeptical at first it sounded hard to believe that one person could make such a meaningful difference in a situation like mine. But over time, I saw real results. Not overnight, and not in a way that felt unrealistic, but in a steady and genuine way that gave me confidence and peace of mind. What stood out the most was her consistency and the way she handled everything with professionalism and clarity. That alone made it easier for me to trust the process.Today, I can say the experience has been positive, and I’ve even felt comfortable enough to recommend her to some of my relatives.I’m grateful for the support I received, and I wish her continued success in all she does.

    My Skill

    Specializes in supervision leadership, regulatory strategy, and sales-compliance integration

    Centralized Supervision Program Development

    Regulatory Examination Management

    Strategic Supervision Planning

    Cross-Functional Team Building

    Executive-Level Compliance Advisory