Allyson Saldivar

Allyson Saldivar joined the LeGaye Law Group in 2011 in a compliance and financial services support capacity.  As a support services team member, her duties with us include

  • Processing regulatory required licensing for firms, registered agents and non-registered associated persons for our broker-dealer and insurance clients
  • Processing regulatory filing compliance deadlines for our broker-dealer clients, which include:
    • Account Administrator annual reviews
    • Agent terminations
    • Annual Assessments
    • Annual Renewals
    • Business Continuity Plan updates
    • Contact Questionnaire filings
    • Continuing education
    • Fidelity Bond renewals
    • Senior Management Approvals
  • Preparation and distribution of Written Supervisory Procedures
  • Providing administrative support related to annual 3120 reviews and AML audits

Additionally, prior to joining the LeGaye Law Group, Allyson was employed as a legal secretary for a law firm.