As Chief Compliance Officer, her responsibilities include the continuing development of all aspects of compliance, including regulatory oversight of all Annex Wealth Management® advisors, supervision of accounts and transactions, and compliance with US Securities & Exchange Commission and related securities rules and regulations.

Before Annex Wealth Management, Naomi served as the Chief Compliance Officer and Operations Manager for Midland Financial Advisors, Inc. She has over nine years of experience in the industry working with Registered Investment Advisors to ensure strong compliance programs and operational efficiency.

Naomi graduated from Northwood University with a Bachelor of Business Administration. She holds a Uniform Investment Advisor Law (Series 65) license with Annex Wealth Management. Additionally, Naomi earned the Certified Securities Compliance Professional (CSCP) accreditation. The CSCP designation is a graduate-level specialization for experienced financial services compliance professionals. This program was offered through the School of Law – University of St. Thomas in collaboration with the National Society of Compliance Professionals (NSCP). This designation distinguishes individuals with intermediate to advanced proficiency and a commitment to advancing securities compliance practices.

Naomi lives in Waukesha with her husband Glen and enjoys spending time with friends and family.