Chief Compliance Officer

Morgan is responsible for the development and implementation of the Firm’s compliance program. She works with the teams as well as the regulatory authorities to ensure all compliance requirements are being met and is responsible for identifying potential areas of compliance vulnerability and risk and works to develop corrective actions for resolution of those issues. Prior to joining Principal Street, she was the Operations and Compliance Manager for Green Square Capital. Morgan also worked as Operations manager within the Portfolio Reporting department of Raymond James Financial. Morgan received a Bachelor of Business in Finance, with an emphasis in investment banking, from the University of Memphis and successfully passed the Series 99 exam.