Operations & Compliance
Michele Baise started at Brookstone Capital Management (BCM) in January 2007, just a few months after the launch of BCM. Dean Zayed recruited Michele from Waterstone Financial Group (WFG) and she jumped at the opportunity to be a part of a start up with Dean Zayed. Before entering the financial services field, Michele worked as a software engineer writing test plans for Hewitt and Associates. She switched gears and entered the Financial Services Industry with WFG where she was a part of the Resource Center; transitioning and training new Registered Reps to the BD. Michele has held numerous positions within BCM and is now the Director of Operations. Her current responsibilities include implementing back office operations, daily trading and rebalancing of all client accounts, and calculating and deducting quarterly fees. Michele attended University of Wyoming and received her B.S. in Economics from University of Illinois at Chicago.
Partners with the Investment Advisor Representative (IAR) to input all data into the case design development. Sue works with Molly Henseler to input data to generate Morningstar reports for each case design.
Institutes and implements all back office operations, including daily trading, model rebalancing, client distributions, fee calculations and reporting. The operations department also maintains and establishes relationships with our strategic partners.
Becky Willis has been with Brookstone Capital Management since November of 2009. She began working in the capacity of IAS and moved to the Operations Department in 2010. As part of the operations team Becky’s responsibilities consist of daily trading of Model Strategies which includes initial transactions and all aspects of rebalancing client accounts, management fee calculation and deduction, and helping to maintain strategic partner relationships. Prior to joining the Brookstone team, Becky was employed with a wholesale electrical parts manufacturer and supplier. She was an integral part of the sales group as the technical director in charge of evaluating client requirements . At that same time she was establishing a small business start-up with her husband. Becky earned her B.S. in Electrical Engineering, which has been an invaluable asset in her current role at Brookstone.
Responsible for generating the Morningstar reports for the Investment Advisor Representatives. The IARs send in request forms along with a client’s statements and the Morningstar Specialist generates a consolidated report of client holdings.
Karen joined Brookstone in July of 2014. Her day to day responsibilities include advertising review, branch office examinations, account reviews and assisting with the overall development and implementation of compliance policies and procedures. Prior to joining Brookstone, Karen was a Compliance Officer for both RIAs and Broker/Dealers. She currently holds her Series 7, 66 and 24 licenses and received a Bachelor’s Degree in English from Illinois State University.
Emily joined Brookstone in August of 2015. As part of the compliance team, Emily’s responsibilities include, but are not limited to, advertising review, branch office examinations, account reviews and assisting with the overall development and implementation of compliance policies and procedures.
Emily has over thirteen years of combined compliance and legal experience. Prior to joining Brookstone, she previously served as Vice President of Compliance at a dually registered investment advisor/broker dealer and acted as a corporate paralegal for a large national law firm. Emily earned her Bachelor’s Degree in International Studies from Northern Michigan University and Paralegal Certification from Loyola University Chicago. She currently holds her Series 66 and previously passed the Series 7 and 24.