Registration and Compliance Consulting
Lisa has more than thirty years of experience in the financial services industry. During this time, she has supported a wide range of broker-dealer and investment adviser registration engagements.
In her current role, Lisa manages all aspects of the registrations department, including consulting services for FINRA and NYSE broker-dealers regarding new and continuing membership applications. Her responsibilities also include managing the registration of investment advisers and municipal advisers.
In addition, Lisa manages and serves as senior consultant for the RRS Compliance Administrator program. In this role, she supervises ongoing compliance support related to FINRA, SEC, and state regulatory filings. This includes Form ADV and Form BD updates, state registrations, notification filings for broker-dealers and investment advisers, and annual renewal services.
Project Management and Regulatory Filings
Lisa has served in project management positions on registration-related matters for large national and multinational firms.
These engagements have included managing FINRA and SEC filings for alternative trading systems, self-clearing broker-dealers, full-service broker-dealers, and limited purpose broker-dealers.
She has also managed filings related to corporate mergers and consolidations for large bank holding companies and insurance-affiliated registrants.
Her consulting engagements also include reviewing Forms BD and ADV for financial services holding companies. These reviews help identify disclosure deficiencies and ensure consistency in reporting.
Lisa has also supported remediation efforts resulting from regulatory examinations and investigations.
