Lisa Roth joined NCS Regulatory Compliance in September 2018 and brings over 20 years of Financial Services experience specializing in advisory compliance and consulting. During her tenure as an independent consultant and as a long-time employee of LPL Financial and Commonwealth Financial Network she has managed regulatory exams, served as a client relationship manager, and specialized in policy drafting and risk management. While she was an Assistant Vice President at LPL, she also supported development of LPL’s Registered Investment Advisor (RIA) Custody platform servicing more than 400 RIA firms and 4,800 advisors.
In her role as a Senior Consultant, she provides expert advice to RIA compliance clients for the design and execution of their compliance programs including researching and providing guidance on specific SEC and state regulatory requirements, corresponding with regulators to interpret regulatory rules, consulting on best practices, and strategizing new ways to add value to client relationships. Ms. Roth holds her Series 7, 24, 53 and 66 licenses and has a Bachelor Degree in Finance from San Diego State University.