Chief Compliance Officer | General Counsel
Jennifer Relien is Chief Compliance Officer and General Counsel for Prosperity Capital Advisors, an SEC registered investment adviser (RIA), a subsidiary of C2P Enterprises. Jennifer also serves in this role for Valor Capital Management, a registered investment adviser operating as a Turnkey Asset Management Program (TAMP) and a fund strategist; Clarity 2 Prosperity, a financial training, coaching and IP development organization; and Clarity Insurance Marketing, fiduciary-friendly insurance marketing organization (IMO). She is responsible for handling legal matters relating to the network of companies and compliance, supervision and regulatory matters for the investment advisory business.
Prior to joining C2P Enterprises, Jennifer Relien was Vice President and Associate General Counsel of Advisor Group, Inc. a network of four independent and SEC dually registered retail financial services firms including Woodbury Financial Services, Royal Alliance Associates, Sage Point Financial, and FSC Securities Corporation. Relien provided guidance and support for legal matters relating to the network’s broker-dealer and investment advisory business with a particular focus on regulatory matters.
Relien also served as General Counsel and Secretary at Thrivent Investment Management, Inc. an affiliated broker/dealer and investment adviser of Thrivent Financial, where she provided legal support across the organization and strategic direction for the firm’s distribution of financial services and proprietary and non-proprietary product offerings. Previously, Relien was Vice President and Assistant General Counsel at US Bancorp Piper Jaffray where she provided legal advice on all matters relating to the firm’s retail business line.
Relien earned a bachelor’s degree in political science from the University of Wisconsin at Madison and a Juris Doctor, magna cum laude, from William Mitchell College of Law in St. Paul, Minn. She is admitted to practice law in Minnesota and is a member of the Hennepin County Bar Association.