Securities Operations Administrator

Abby Tan

As a Securities Operations Administrator, Abby assists the Securities Operations and Compliance team with asset movement, brokerage of account service/trading, preparing alternative investment documents and FINRA and SEC compliance duties.

Before joining Crestone, Abby worked at Raymond James Financial as a Compliance Advisor and previously held a position as a Compliance Team Lead, responsible for directing adjustments to the firm’s corporate policies/procedures and conducting audits. Prior to Raymond James Financial, Abby worked in a Client Operations role at Fisher Investments where she gained an understanding of how back office operations shape the client experience.

Abby graduated Cum Laude with her Bachelors in Economics and Business Administration from the University of Florida. She is a FINRA Registered Representative holding the Series 7 and Series 24 licenses.

What do you love to do outside of work?
Spending time with my friends and family! I also love skiing, hiking and running, anything that involves being outdoors and active.
What is the most influential book you’ve read?
When Breath becomes Air by Paul Kalanithi
What are you passionate about personally?
People, Food and Travel