LPL Registered Principal
In mid-January our new firm welcomes Ann who brings over 33 years in the financial services industry, half that time as an advisor and half as a registered principal in operations and compliance. The last 11 years she practiced as an LPL Principal Examiner in Branch Exams. She will assist the firm and its registered representatives in increasing branch exam performance and advise on new regulatory and LPL policy changes. She will engage in regular office visits and to support audit compliance and follow up on audit findings. We are looking forward to leveraging her as a point of contact to help provide guidance and information in navigating LPL’s complexities.
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