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President & Chief Compliance Officer 

Any viable enterprise must operate with high standards of integrity and business ethics.  In a Wealth Management Firm, these characteristics must be imbedded in daily business practices to the highest degree.  Carin plays the central role in assuring compliance with all federal and state securities laws as well as all industry rules and regulations.  Drawing on over 35 years of experience in the financial services industry, she leads a team dedicated to providing the highest level of service for our clients.  Carin is committed to advancing the firm's capability and capacity by a persistent push for process improvement, cohesive team operations and enhanced technology to ensure a high level of client satisfaction and personalized experience.  Carin insists on doing things right.  She understands the rigors of maintaining compliance without impeding the development of client solutions.  It is critical for SPM Wealth Advisors to be equipped to give counsel and advise our clients within a framework that is both accurate and informed.

For the past several years Carin and her husband Tony, have developed a passion for encouraging and teaching others in the area of charitable giving.  They frequently speak at conferences around the country, sharing personal experiences as well as technical advice regarding stewardship and charitable giving techniques.  They have co-authored a book entitled "Faithful with Much" - Breaking Down the Barrier to Generous Giving

Professional Experience

After a brief stint in retail store management she began her career in the financial services industry in the late 1970's.  After passing the required industry examinations she was employed by Equitable Financial Companies, EVLICO and EQUICO Securities Inc. as a Registered Representative and Agent.  Later in her career she served as General Manager, Registered Representative and Agent for Prudential Insurance Company of America and PRUCO Securities Corp.

In the mid-eighties Carin assisted in the formation of AJA Financial Planners Inc. a Registered Advisory Firm and served as Vice President and Chief Compliance Officer.  Then in 1993 Carin founded Select Portfolio Management, Inc. and its affiliate Select Money Management, Inc. in 2010 where she currently serves as President and Chief Compliance Officer for both companies.

Building on the platform of diverse experience Carin formed her own Broker Dealer and was admitted to FINRA membership (previously NASD) in September of 1999. Her firm Securities Equity Group, Member FINRA & SIPC. began doing business with the public in April of 2000. She currently serves as CEO, President and Chief Compliance Officer for Securities Equity Group and is Registered Principal and Registered Representative (Series 24, 9, 6, 63, & 65).

Carin is President of SPM Insurance Services, Inc. another start-up enterprise.  Drawing on past experience in the insurance industry, Carin formed SPM Insurance Services, 2005, a wholesale fixed life and annuity company which serves insurance industry representatives offering marketing solutions, products and services within the highly competitive insurance industry.

Securities offered through Securities Equity Group | Registered Broker-Dealer

CA Insurance License # 0739364 


  •  BS – Michigan State University, East Lansing, Michigan (1978)

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