Skip Navigation or Skip to Content
721 First Avenue North, St. Petersburg, FL 33701 | 727-898-7210

Dionne C. Fajardo

Picture of Dionne C. Fajardo

Lived in Florida since 1993

Married with two adult children.

Former Positions:

  • Chief Compliance Officer & General Counsel, Element Pointe Advisors, LLC
  • Attorney & Shareholder, Wiand Guerra King P.A.
  • Chief Compliance Officer & Vice President, Transamerica Financial Advisors, Inc.
  • Financial Industry Consultant, Self-employed
  • Surveillance Manager & Asst. Vice President, InterSecurities, Inc.
  • Shareholder Services Manager & Asst. Vice President, William R. Hough & Co. & Hough Group of Funds
Areas of Practice
Education
  • Stetson University College of Law, J, cum laude
  • World College West, B.A., International Business and Management (Minor Chinese Studies)
Bar Admissions

Florida Bar

Court Admissions

Florida – all courts

Practice Experience
  • Advises, consults, and aids broker-dealers and investment advisers in maintaining compliance with federal and state regulations. 
  • Performs industry mandated compliance reviews and risk and conflict assessments, including Investment Advisers Act Rule 206(4)-7 and FINRA Rule 3130. 
  • Drafts and revises investment advisers and broker-dealer policies and procedures for compliance with industry rules, regulations and best practices. 
  • Represents clients in Securities and Exchange Commission (SEC), Financial Industry and Regulatory Authority (FINRA), and state securities and insurance department inquiries, routine examinations, for cause investigations, and enforcement proceedings. 
  • Assists clients with initial and continuing registration and membership applications and reporting with regulators. 
  • Performs internal investigations 
  • Assists clients with cybersecurity incident response.
Publications and Speaking Engagements
  • Identifying and Managing Conflicts of Interest, Presenter, National Society of Compliance Professionals Annual Conference, October 2022
  • Evolving Custody Responsibilities, Co-Author, National Society of Compliance Professionals Currents, November 2021 
  • Evolving Custody Responsibilities, Panelist, National Society of Compliance Professionals Annual Conference, November 2021
  • Cryptocurrency, Moderator, Financial Markets Association Annual Compliance Conference, May 2019 
  • New Report on Broker-Dealer Cybersecurity Practices, Panelist, American Bar Association Securities Regional Meeting, February 2019 
  • Regulatory Panel Discussion, Moderator, Hillsborough County Bar Association, January 2019 
  • Discussion About BICE to Regulation Best Interest – Where Are We Going?, Presenter, Independent Broker Dealer Consortium 2018 Conference, October 2018 
  • CCO Liability, Presenter, Financial Markets Association, April 2018 
  • Don’t Get Caught Flat-Footed; Preparing for the Implementation of the Revised Form ADV, Presenter, Financial Services Institute, August 2017 
  • The DOL Fiduciary Rule and BIC Exemption – What Next, Panelist, Financial Services Institute One Voice Conference, January 2017 
  • Current Issues in Investment Advisory Compliance, Presenter, Financial Services Institute, December 2016 
  • Written Supervisory Procedures: A Roadmap to Victory (for Claimants), Presenter, Independent Broker Dealer Consortium Annual Conference, September 2016 
  • Spotlight on Variable Annuity L Shares, Presenter, Financial Services Institute, September 2015 
  • A Penny for Your Thoughts; Recent AML Enforcement Cases, Presenter, Financial Services Institute, January 2015
Professional and Civic Activities
  • Girls Inc. of Greater Miami, Board Member & Secretary
  • CHIEF (Executive Women’s Network), Member
  • Florida Securities Dealers Association, Member
  • National Society of Compliance Professionals, Member
  • Southeastern Women in Financial Services, Member

About Us

We’re a firm committed to guiding any size business through complex business litigation and transactions. 

About us

Join Our Team

If you’re interested in a multi-disciplinary team philosophy with a 
deep bench of experienced attorneys of varying specialties and points 
of view, you’ve come to the right place.

CAREERS

Get in Touch

Whether you’re in need of our services or interested in joining our team, we want to hear your story.

Contact banner image