Cambridge is pleased to welcome Sarah Berner and Monica McSweeney to the firm as assistant vice presidents. Berner joins as assistant vice president of Operations and McSweeney joins as assistant vice president of Compliance.
Berner brings 15 years of experience within the industry to Cambridge, including experience as a registered representative, as an investment advisor representative, and at financial services firms. In her role as assistant vice president of Operations, she strategically leads the Operations Account Supervision (OAS) Team, which provides suitability and risk mitigation supervision for Cambridge independent financial advisors. Prior to joining Cambridge, she served as assistant chief compliance officer, regional manager of compliance and operations, and director of anti-money laundering during her tenure at Berthel Fisher & Company Financial Services, Inc. and Securities Management & Research, Inc. Berner earned a bachelor’s degree in business administration focused in finance from the University of Iowa, and holds the FINRA Series 7, 24, 66, 79, and 99 licenses as well as a State of Iowa insurance license.
McSweeney brings more than 25 years of compliance experience within the financial services industry to Cambridge, including senior leadership roles at D. A. Davidson & Company, Merrill Lynch, and Wells Fargo Advisors. In her role as assistant vice president of Compliance, she collaboratively leads the Compliance Department, overseeing the Compliance Communications, Compliance Support Services, External Audit, Resource Center, and Surveillance Teams, while advancing the firm’s longstanding initiative to provide common sense compliance support alongside cutting-edge compliance tools and technology. McSweeney earned a Bachelor of Science degree from Friends University and a master’s degree from Baker University. She is a Certified Compliance and Ethics Professional® (CCEP®), holds the Accredited Asset Management Specialist® (AAMS®) designation, and holds the FINRA Series 3, 7, 10, 24, 53, 63, and 65 licenses as well as a State of Iowa insurance license.
Securities offered through Cambridge Investment Research, Inc., a broker-dealer, member FINRA/SIPC, and investment advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Both are wholly owned subsidiaries of Cambridge Investment Group, Inc.