Brittany Duran

Brittany Duran — Practice Manager

Education:

  • University of Kentucky, Bachelor of Business Administration in Management
    Graduated 2001

Employment:

  • Start Date – 2/19/2007
  • Service Advisor – 2/2007 – 6/2010
  • Compliance Lead – 9/2009 – present
  • Practice Manager – 6/2010 – present

Licenses, Registrations & Certifications include:

  • FINRA Series 7 – General Securities Representative
  • FINRA Series 66 – Combined State Law Exam

Day-to-day Tasks:

  • Company Financials – Maintains and implements payroll, payables & receivables, financial statement preparations, and bank & credit card reconciliations through QuickBooks
  • Compliance – Partners with outside counsel to design firm compliance manual and other regulatory documents, maintain firm annual renewal and deliveries, conduct firm wide compliance meetings, maintain books & records, policy review and testing
  • Client Service – Manages death claim & estate administration processing (client meetings, paperwork, etc.) and conducts our annual required minimum distribution audit project
  • Tax Preparation – Liaison between our clients and their CPAs to facilitate the process from beginning to end

Time Allocation:

  • Company Financials – 30%
  • Compliance – 40%
  • Client Service – 30%