Broker-Dealer

Runningen Associates complies with broker/dealer FINRA and SEC regulations through its broker-dealer affiliate, Bridge Capital Associates. This team is lead by Bridge Capital’s founder, Carrie Wisniewski.

Carrie Wisniewski, President

Carrie Wisniewski has over 25 years of securities industry experience and has earned her MBA degree in Finance as well as the Certified Financial Planner™ designation. She also maintains several FINRA principal licenses.

Carrie's career accomplishments include employment as a registered representative and also as a member of the Compliance Department of Merrill Lynch. Most recently, she was employed by the Atlanta District Office of FINRA as a Senior Compliance Examiner, where she earned several awards for outstanding achievements.

Virginia Voos,
Senior Compliance Consultant

Virginia Voos is Senior Compliance officer with FINRA Series 7, 24 28 and 63 registrations. Ginny’s career in the securities industry started in 2001 as Operations Manager for an Atlanta based Hedge Fund. She was instrumental in forming a new broker dealer to service trading for the hedge fund and worked as CCO and COO for the affiliated broker/dealer until 2007. Through her role at Bridge Capital Associate, Ginny serves as Compliance Officer and FINOP for Runningen Associates, LLC.

Ginny’s compliance expertise includes trading, variable products, mutual funds, sales practices, financial books and records, back office operations and anti-money laundering. She works with our clients on special ad hoc projects, new FINRA b/d applications and independent compliance and AML audits.

Tiffany Messenger,
Project Manager

Tiffany Messenger has several years of experience in registration and licensing broker dealers and the representatives there under. She previously oversaw all registration and licensing for Thomas Group in Atlanta, Ga. Tiffany has been with B/D Compliance Associates, Inc. since January 2004. In addition to registration and licensing for several firms on an ongoing basis, Tiffany is also the project manager for new FINRA membership applications.

In order to comply with FINRA and SEC requirements, John Runningen is a registered representative of Bridge Capital Associates (BCA), a licensed Broker-Dealer. BCA handles all of our regulatory and compliance issues. Following is a summary of BCA's client information requirements.

Client & Investor Identification Program Notice

To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person and entity with whom we effect securities transactions.
This Notice answers some questions about our Client/Investor Identification Program.

What types of information will I need to provide?

When you commence a business relationship with Runningen Associates, LLC, our Broker-Dealer Affiliate, BCA, is required to collect information such as the following from you:

	Company Name, Your name and Date of birth or date of incoporation
	Contact information including: Address, phone and e-mail address
	Identification number
	U.S. Citizen: taxpayer identification number (social security number or employer identification number)
	Non-U.S. Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you. You may also need to show your driver’s license, passport, or other identifying documents. A corporation, partnership, trust or other legal entity may need to provide other information, including but not limited to; its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.
	U.S. Department of the Treasury, Securities and Exchange Commission, FINRA, and New York Stock Exchange rules already require you to provide most of this information. These rules also may require individuals to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance. Corporations are required to provide similar information in addition to copies of the Articles of Incorporation, By-Laws, and Corporate authorization forms for the specific transaction etc.

What happens if I don’t provide the information requested or my personal and/or my company’s identity can’t be verified?

Your firm may not be able to conduct business with Runningen Associates, LLC (RA) or BCA . If RA or BCA or its associated persons have already commenced a securities business with you, they may have to sever the relationship.

We thank you for your patience and hope that you will support the financial industry’s efforts to deny terrorists and money launderers access to America’s financial system. www.finra.org

Privacy Policy

We will collect nonpublic personal information about you and your firm from the following sources:

Information we receive from you on applications or other forms;
Information about your transactions with us or others; and
Information we may receive from a consumer reporting agency.

We do not disclose any nonpublic personal information about you or your company to anyone, except as permitted by law. If you decide to cease conducting business with us for any reason, we will adhere to the privacy policies and practices as described in this notice.

Bridge Capital Associates, Inc. restricts access to your personal and business information to those employees and associates who need to know that information to provide products or services to you. Bridge Capital Associates, Inc. maintains physical, electronic, and procedural safeguards to guard your nonpublic personal and business information.

We have chosen not to disclose any of the information we collect, as described above, to companies that perform marketing services on our behalf or to other financial institutions with whom we have joint marketing agreements, even though such disclosure is permissible by law.

Securities offered through Bridge Capital Associates, Inc., www.bridgecapitalassociates.com. John Runningen is a registered representative of Bridge Capital Associates, LLC ~ Content copyright . Runningen Associates, LLC. All rights reserved.