Susanne Denby has joined HTK to serve as the AVP of Supervision and Suitability! In her role Susanne is responsible for leading HTK’s centralized supervision and suitability teams, and providing strategic leadership to our entire supervision program.

Susanne has more than 25 years of experience in the financial services industry, specifically working with firms leading supervision, suitability and compliance programs. Susanne has a deep background and an established track record of successfully leading overall programs through industry and regulatory changes and examinations.

Prior to joining HTK, Susanne led the Supervision Department at Ameritas’ broker-dealer and RIA. Prior to that she was Chief Compliance Officer for NFP Securities and SagePoint Financial. Susanne also served on FINRAs District Committee Six from 2013 - 2015.

HTK President Aaron Gordon shared his thoughts on Susanne joining the team: "As a leading broker-dealer and registered investment adviser, HTK is excited to have Susanne join us. Susanne is team-oriented and collaborative leader, and will work across all departments to help provide a best-in-class centralized supervision experience for financial professionals and the business at large.

"The Supervision Department is an essential area for a broker-dealer and RIA organization. Broker-dealer and RIA Principals bridge the gap between sales and compliance while ensuring we keep up with the speed of business,” Susanne shared. “I look forward to working with the HTK Supervision Team as we support and partner with our financial professionals and colleagues to achieve our goals and celebrate our successes along the way."

Susanne resides in Austin, Texas with her husband and dachshund. She enjoys birding on the Texas coast, traveling, and spending time with her children and grandchildren.