Sheaff Brock Adds Operations and Compliance Coordinator

Registered Investment Advisory Firm in Indianapolis, Indiana

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Sheaff Brock Investment Advisors, LLC

May 16, 2018, 08:00 ET

INDIANAPOLIS, May 16, 2018 /PRNewswire/ -- Sheaff Brock Investment Advisors, LLC, announces the addition of Christy Rogers as Operations and Compliance Coordinator for the firm.

Recognizing the critical role that compliance plays in the firm's operations and in building client relationships, Sheaff Brock created the new position to provide supervision and support for the Client Services and New Accounts departments.

An experienced operations manager prior to joining Sheaff Brock, Rogers was responsible for development and implementation of internal client workflows and procedures for a boutique wealth management firm. There, she maintained processes to support consistent client service in all aspects of business while also overseeing SEC filings for compliance and records maintenance. Prior experience in wealth management services involved creating long-term client relationships and organizing outreach events for enhanced relationship-building.

As the new Operations and Compliance Coordinator at Sheaff Brock, Rogers works with Compliance to facilitate processes currently in place for annual audits and the implementation of new procedures as audit requirements change. Rogers oversees the Management Agreement Repapering project and assists Sheaff Brock's trading department in placing trades for several of the investment advisory's managed portfolios.

Ron Brock, Managing Director of Sheaff Brock Investment Advisors, acknowledged the key support role Rogers will play for the firm. "Christy Rogers rounds out our Compliance efforts by ensuring that critical compliance processes are integrated throughout every facet of internal procedures and client relations work."

An Indianapolis native, Rogers is based in the Sheaff Brock corporate office in Indianapolis, Indiana.

About Sheaff Brock Investment Advisors, LLC:
Sheaff Brock is an SEC-registered, fee-only independent investment firm focusing on innovative investment strategies that strive to enhance the portfolios of both growth- and income-oriented investors. The firm manages $1.04 billion in assets nationwide as of 12/31/2017. Sheaff Brock principal David Gilreath is a contributor of investment news to ABCNews.com. Please visit sheaffbrock.com for more information.

SOURCE Sheaff Brock Investment Advisors, LLC