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Profile in Service: Staci Morcom, Director of Securities Licensing

June 21, 2021 12:00 AM

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​Over the course of more than six years with the department, Staci Morcom has proven herself to be an invaluable part of the securities-related work of the department. She is another outstanding example of a member of our staff who has risen to the many challenges posed by the COVID-19 pandemic.

As Director of Securities Licensing, Staci and her team are responsible for registering investment advisers, broker dealers, and their respective registrants. They focus on a firm’s business model to assist with compliance and provide resources to keep firms compliant so they can provide valuable services to Pennsylvania investors.

The most prominent obstacle she and her team faced during the pandemic was shifting from a physical work location to a virtual one without allowing any of their work to suffer in the process. Being able to adjust to a remote work setting quickly allowed their day-to-day operations and responsibilities to remain consistent and unaffected by this change.

Staci credits her team’s flexibility during this time as the key to overcoming challenges. Flexibility in harnessing new technology and thinking outside of the box allowed Staci and her team to acknowledge any issue that presented itself and adapt their work to continue providing resources to both the department’s registrants and Pennsylvania investors. 

"I think the previous year is an accolade to our team and what, as a department, we can accomplish when faced with a challenge. The flexibility of the staff and the common goal helps us move forward to provide great services to the investors of Pennsylvania and the registrants that we serve".

We are fortunate to have Staci working in our Securities Deputate. Her work is invaluable to the Pennsylvania marketplace because it helps firms register to do business in Pennsylvania, keeps existing financial firms in operation, and helps to protect Pennsylvania investors.


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