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| Executive Profiles: Our management team. |
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As President and CEO of ComplianceMAX Financial, Ms. Roth is responsible for leading the firm's strategy and overseeing the day-to-day operations of the firm. In addition, Ms. Roth oversees the ComplianceMAX Institute which is responsible for creation and oversight of the firm's consulting, auditing and content.
She is currently the President of the NAIBD (National Association of Independent Broker/Dealers), and has been a member of the NASD Board of Arbitrators for over 10 years. Ms. Roth has been an expert witness in numerous NASD arbitrations and securities-brokerage disputes since 1995. Ms. Roth is recognized nationally as an expert in compliance and regulatory matters. She is a frequent speaker at industry events and is sought as an expert, by financial firms of all sizes, on a range of regulatory subjects.
Ms. Roth received a B.A. degree from Moravian College, and was the recipient of its History Prize in 1990. Ms. Roth holds licenses with Keystone Capital Corporation as General Securities Registered Representative, General Securities Principal, Sales Supervisor, Licensed Options Principal, Municipal Securities Principal, Investment Adviser (Series 65) and California Securities Agent.
Email Lisa Roth at lisaroth@compliancemax.com. |
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