Ashley Benton-Cooper, IACCP®
Deputy Chief Compliance Officer, Inverness Securities LLC
Ms. Benton-Cooper joined Ancora in 2023 and serves as the Deputy Chief Compliance Officer for Ancora’s broker dealer, Inverness Securities LLC. Ashley supports Inverness’ Chief Compliance Officer in the oversight of daily operations and compliance functions required by the broker dealer. Her primary responsibilities include monitoring and maintaining registration for registered representatives with securities and insurance regulators. Ashley also supports the RIA compliance team by assisting with various regulatory requirements, internal compliance controls, continuing education, marketing review and due diligence.
Prior to joining Ancora, Ms. Benton-Cooper spent time as a compliance consultant at Compliance Risk Concepts, serving as Chief Compliance Officer and Chief Executive Officer for multiple broker dealers during her tenure. She has experience creating and maintaining compliance programs for both RIAs and BDs while also being responsible for daily compliance matters such as regulatory filings, audits and exams. Before that, Ashley spent time with ValMark Financial Group and Planned Financial Services in their compliance departments. She also has experience as a Compliance Auditor and as a Compliance Officer with Huntington National Bank. Ashley began her industry career in 2005 with Raymond James Financial Services in a sales and office manager role.
Ashley graduated from The University of Akron where she earned a Bachelor of Science and Arts in Accounting and a Bachelor of Business Administration in Finance. Ashley is a FINRA registered representative and registered principal. She also holds an Ohio Life, Health and Variable Annuity Insurance license and the NRS Investment Adviser Certified Compliance Professional® (IACCP®) designation.