TARA HORNE, CAMS, IACCP ®

Chief Compliance Officer

Tara Horne is Shufro Rose’s Chief Compliance Officer. Tara joined DFP Partners in 2022 as a Director over investment advisory (“IA”) and broker/dealer (“BD”) compliance. She has served as a compliance professional in the financial services industry for nearly 15 years and holds a FINRA Series 7 and Series 24. During her career, she has completed thousands of mock regulatory exams and shepherded countless financial firms through the IA and BD registration process. In her 15 years of compliance services, she has served as a Consultant, Examiner, and Chief Compliance Officer (“CCO”), providing regulatory support and guidance to hundreds of firms and clients.

As a Certified Anti-Money Laundering Specialist (“CAMS”), Tara has executed numerous anti-money laundering (“AML”) tests for a variety of financial institutions, as well as consulted with financial institutions on the key principles of money laundering and how to mitigate its associated risks effectively. Tara also holds a designation as an Investment Adviser Certified Compliance Professional (“IACCP”); as such, she has been a panel speaker at several industry conferences and educational training seminars. She graduated from California State University of Long Beach (“CSULB”) with a Bachelor of Science (“BS”) degree in Business Marketing and Finance.