Carol R. Newman

Carol Newman

Carol R. Newman IACCP®

Compliance Officer

Carol joined Wingate in 2000 and works closely with our Chief Executive Officer and Chief Compliance Officer to meet all of the firm’s compliance obligations. This includes preparing SEC filings, including Form ADV, creating, implementing and updating firm compliance policies and procedures, conducting internal compliance audits and an annual compliance self-assessment, preparing and presenting the annual compliance meeting and other compliance trainings throughout the year, working with all custodians on client and firm compliance issues, preparing for regulatory examinations, reviewing client agreements, and monitoring compliance related firm activities. Carol holds the Investment Adviser Certified Compliance Professional® designation and the Series 65 securities license.

Carol and her husband, John, have two adult children, both of whom live in Philadelphia, and in her spare time, Carol enjoys cooking, reading and shopping (as a native New Yorker, she was born with a dominant shopping gene).