NexGen Capital

Responsibilities

Patricia I. Crawford is Vice President and Chief Compliance Officer for NexGen Capital Advisors, LLC, NexGen Capital Consultants, LLC and NexGen Capital Investors, LLC (collectively, the NexGen Affiliates) and is responsible for performing all the compliance activities.

Experience

Ms. Crawford has 27 years of experience in securities compliance and regulation.  She has worked in all areas of broker/dealer and investment adviser compliance including: developing policies and procedures, providing direction to registered representatives on compliance and operational issues, implementing and tracking required training and assessing firms’ financial and operations conditions and compliance with the Financial Industry  Regulatory Association, the Securities and Exchange Commission and New York Stock Exchange Rules.  Ms. Crawford most recently served as Regional Director, Advocacy and Supervision at Cambridge Investment Research, Inc. and was responsible for the regulatory supervision of approximately 150 registered representatives and officers of supervisory jurisdiction.

Ms. Crawford served as Director of Compliance at Waterstone Financial Group, Inc. (Waterstone) and was responsible for developing and implementing procedures and quality reviews as well as compliance programs across the company’s 625 branch offices.  She helped grow Waterstone from 178 registered representatives to more than 625 registered representatives over an eight year period.  Ms. Crawford has held other compliance positions including Compliance Officer for the mid-west region of Principal Financial Securities, Inc. and branch officer examiner at Integrated Resources Equity Corporation.

Education

Ms. Crawford received a BA degree in communications from Western Illinois University.

Certifications

Ms. Crawford is Series 24, 7 and 63 licensed.

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