Meet Corrie Scoby,

Founder & Chief Consultant

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Corrie Scoby is the Chief Consultant & Owner of Three Lumos Consulting, bringing over 20 years of experience in the financial services industry and deep, hands-on expertise in investment adviser compliance.

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Throughout her career, Corrie has served as a Chief Compliance Officer (CCO) and Director of Compliance, overseeing and supporting multiple registered investment adviser compliance programs simultaneously. In these roles, she has guided firms through regulatory examinations, built and maintained compliance programs, reviewed marketing materials, managed regulatory filings, and provided ongoing, practical compliance guidance to advisers operating in increasingly complex regulatory environments.

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Corrie holds multiple securities licenses, including FINRA Series 7, 24, and 66, among others. Her background spans both broker-dealer and investment adviser regulatory frameworks, allowing her to bring a well-rounded, practical perspective to compliance challenges faced by small and independent advisory firms.

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She is also an active member of the National Society of Compliance Professionals (NSCP), the leading professional organization dedicated to advancing compliance standards and best practices within the financial services industry. This affiliation reflects her ongoing commitment to professional development and staying current with evolving regulatory expectations.

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A Practical, Client-Focused Approach to Compliance

Corrie founded Three Lumos Consulting on the belief that compliance should be structured, understandable, and supportive—not intimidating or overly theoretical. Her approach is grounded in real-world experience, not templates or one-size-fits-all solutions.

Three Lumos Consulting works primarily with small and independent Registered Investment Advisers who may not have in-house compliance staff but still need reliable, proactive guidance. Services are designed to meet firms where they are—whether that means ongoing monthly support, help with a specific compliance project, or on-demand advice for time-sensitive questions.

 

Experience Across the Country, Rooted Near Memphis

Corrie has lived and worked across the country, including East Texas, Chicago, Los Angeles, and Nashville, experiences that have shaped her understanding of the diverse operational and regulatory realities advisory firms face. She is now based just outside of Memphis, Tennessee, serving advisory firms nationwide.

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Clients value Corrie’s professional yet approachable style, her ability to translate regulatory requirements into clear action steps, and her focus on building compliance programs that support—not hinder—business growth.

 

Professional Credentials & Affiliations

• Chief Consultant & Owner, Three Lumos Consulting

• Former Chief Compliance Officer (RIA)

• Former Director of four compliance programs (mixture of FINRA & SEC)

• Earned FINRA Series 7, 24, and 66 (and additional securities licenses)

• Current Member, National Society of Compliance Professionals (NSCP)

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TLC Core Values

• Service: We prioritize a client-first approach, providing attentive, responsive service to address your compliance needs with care and professionalism.

• Support: We offer continuous guidance and education, acting as a reliable partner in navigating day-to-day compliance challenges and regulatory changes.

• Structure: We implement clear processes and robust compliance programs, bringing order and efficiency to your operations so you can move forward with confidence.​