Chied Complaince Officer
Lori has served in a variety of compliance roles at broker-dealers and investment advisers for the past 20+ years. Most recently, she worked at Securities Service Network (SSN) and SSN Advisory, Inc (SSNAI) as the Assistant Vice President, Manager of Home Office Supervision for the compliance team leading and managing a team of tenured compliance principals. Lori has held senior compliance positions at firms such as CNL Financial, Pershing/BNY Mellon and Foreside. She is a strong compliance leader with solid common sense, change management and leadership experience working closely with management, representatives, investment advisor representatives and vendors.
Lori grew up in Westport, Connecticut and attended Ithaca College in upstate New York. She graduated with a Bachelor’s degree in Politics and a minor in Interpersonal Communications. She has the Series 4, 7, 24, 53 and 63 licenses.
Lori is an avid dog lover and currently has two dogs, Max (a tiny Yorkie) and Princess (an even tinnier Maltese). In her spare time, she enjoys time with her family, watching movies, fishing, traveling and reading. And, of course, she really enjoys answering questions from reps and advisors and helping them, and the firm, achieve compliance with the myriad of securities/compliance rules and regulations.