Marleen Scheffy

Marleen Scheffy

  • Marleen Scheffy

    Chief Compliance Officer

    (323) 254-3072
    888.988.401K Toll-Free
    323.395.0714 FAX

    Marleen Scheffy is the Chief Compliance Officer of Mason & Associates. In this capacity, she ensures that the firm is in compliance with SEC rules and regulations. She has more than 35 years’ experience in the Securities Industry and during that time she has been associated with a number of financial services firms in various management roles.

    Marleen currently also serves as Chief Compliance Officer for two other registered investment advisors, David S. Reinders, CFP®, Inc. and Hawley Advisors. Most recently, she also was Chief Compliance Officer and Principal with Perlinski & Associates, a broker/dealer specializing in mergers and acquisitions and corporate finance. In addition to her Chief Compliance Officer role with these firms, she consults with other registered investment advisers on an as needed basis.

    Previously, Ms. Scheffy served as Chief Operating Officer of Associated Securities Corp. where she was in charge of broker/dealer operations, trading, compliance and supervision. She also was in charge of the firm’s two registered investment advisors. Marleen was a Vice-President in the Wealth Management Group of Sanwa Bank. She spent nine years with FINRA (formerly the NASD) the self-regulatory organization for the brokerage industry, where she was a Supervisor.

    Marleen holds a BA degree in Business Management from Colorado Women’s College where she graduated Summa Cum Laude. She also holds a Certificate in Executive Management from Claremont Graduate University. Marleen holds a Series 65 license.

    Marleen is a past member of the Southern California Compliance Group, the National Society of Compliance Professionals and the FPA. She also served on the Operations Council of the Financial Services Institute.

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7474 North Figueroa Street
Los Angeles, CA 90041

Phone: 323.254.3072
Toll Free: 888.988.401K
Fax: 323.395.0714

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