Ann Sexton, Vice President of Operations

Ann’s career in financial services began in 1991 at MFS Investment Management. She held management positions within Compliance and Operations for State Street Bank & Trust and Allianz Life and also owned her own small business. Ann joined DMI in 2004 and has been Vice President of Operations since 2005.

Recent Posts

Oct 13

Annuities Safety Net: Why Suitability Protects You and Your Business

In my last blog, I shared a high-level overview of the importance of internal compliance policy awareness and cooperation, as well as familiarity with state and federal regulations that apply to your business. Hopefully, we can agree that although sometimes challenging, these rules and regulations are ultimately in place to protect you, your business and your...

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Sep 29

Compliance - Why Is It Such A Tough Pill To Swallow?

Having spent a number of years working for attorneys and compliance managers in the financial services industry, I know that just hearing the word “compliance” often makes people cringe. To be honest, I’ve also worked in sales and marketing, so I too have cringed when the call came to speak to the compliance officer.

However, whether you work for a large firm or...

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Sep 09

Are You Protecting Your Clients’ Privacy?

We are – everyday.

As part of our underwriting and case management services, we request, review and forward medical records to the underwriters at our carrier partners to negotiate the best offers on behalf of our advisers. All DMI team members who have access to health records are HIPAA Certified. We take this very seriously as should you. If you are requesting...
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