Sarah M. Wisniewski

(310) 843-9300
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WestPark Team

Sarah M. Wisniewski

Chief Compliance Officer - RIA

Ms. Wisniewski has over 25 years of experience as a Compliance and Supervision leader with extensive experience in the financial services industry as chief compliance officer, vice president, and department manager working in both home office and field environments.  Ms. Wisniewski possesses excellent leadership, mentoring and relationship management skills utilizing a strong organizational and analytical background. Ms. Wisniewski promotes teamwork to accomplish her team’s business and personal goals.

Ms. Wisniewski began her financial services career in 1993 in operations with Dain Bosworth (now RBC Dain Rauscher). She later transitioned to work in the field as a Senior Registered Sales Assistant.

Her first role with compliance was at Piper Jaffray where she was responsible for authoring and implementing a number of policies and procedures regarding written and electronic communications with the public. Ms. Wisniewski’s desire to work more closely with advisors took her to Washington Square Securities Inc. (a subsidiary of ING) where she excelled as a Senior Compliance Officer with a solutions-oriented approach to compliance. When they closed their Minneapolis offices, Ms. Wisniewski joined American Express Financial Advisors where she held roles as a Senior Compliance Examiner and later Manager of the Privacy Office of the then newly formed Ameriprise Financial.

In 2006 Ms. Wisniewski accepted the role of Regional Vice President for the Branch Supervision Department of AIG Financial Advisors where she was responsible for over 45 OSJs in a multi-state region moving her to California.  Her advisor centric approach to navigating the complexities of the regulatory environment was well respected in her region.  She later then went to work for the largest OSJ within the then AIG Advisor group and moved the OSJ to LPL Financial. Ms. Wisniewski later transitioned south where she joined WestPark Capital in 2012 for the first time as Chief Compliance Officer.  She later joined National Planning Corp as the Vice President of Compliance which was subsequently purchased by LPL Financial.  Ms. Wisniewski rejoined WestPark Capital in 2016 and is the Chief Compliance Officer of the Registered Investment Adviser.

Ms. Wisniewski holds the Series 7, 24, 63, 65, 4, and 53 registrations and is a certified Accredited Investment Fiduciary® (AIF®).

Contact Sarah:

(310) 203 2929