Hi! I am Jaye Faggett, the owner and principal compliance consultant for Providence Compliance.

I have an 18-year career spanning various facets of RIA compliance and regulation, I have developed a comprehensive understanding of the industry's regulatory landscape. My experience encompasses roles as a regulator with state agencies and FINRA, a compliance officer in the private sector, and a consultant specializing in RIA regulatory compliance. Throughout these positions, I have honed my skills in enforcing state and SEC regulations, conducting compliance examinations, and developing effective compliance programs. My expertise includes training examination staff, providing compliance guidance to new and established advisers, and creating educational resources such as webinars and checklists. I have a deep knowledge and understanding of investment advisory regulations, the RIA business model, and the practical application of compliance principles. I am equipped with the ability to navigate complex regulatory requirements, implement robust compliance systems, and provide valuable insights to RIA firms at both the SEC and state levels. This diverse background allows me to offer a unique perspective that bridges the gap between regulatory expectations and practical business operations in the investment advisory industry.