Mary Bivens

Mary Bivens

Senior Compliance Manager

Phone: (414) 278-1518
Fax: (414) 276-2411
E-mail:
 

Mary started with AXA Advisors, LLC - Wisconsin Branch in November of 2017. Prior to joining AXA Advisors Milwaukee office, she was an Operations Manager for an institutional B/D for four years at BMO. Previous to that, she was with Northwestern Mutual for a total of 26 years, 14 of those years were in Compliance.

Mary is a Milwaukee native, and has a BA in Consumer Science and Marketing from the University of Wisconsin - Madison. Mary currently holds security licenses Series 6, 7, 24, 63 and 66 registrations.

She has volunteered at Irish Fest in Milwaukee for the past 17 years as a stage manager. Outside of work, Mary likes to spend time with her husband and son outdoors, doing things such as skiing, bike riding, and camping. She also likes to relax by reading a good book.

Services
Completes annual reviews
Maintenance of Compliance manuals and related procedures
Signature Guarantor
Manages Customer complaints
Oversees OBA’s
Reviews Branch Staff and FPs LinkedIn and Facebook websites
Assists FPs and Staff in Compliance related matters
Assists in Branch training and education of Financial Advisors


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