Adam Warot
VP, Associate Counsel at LPL Financial
- Role
- VP, Associate Counsel at LPL Financial
- Location
- Denver, CO, US
- LinkedIn followers
- 500 followers
About Adam Warot
Regulatory attorney with extensive experience advising registered investment…
Experience
VP, Associate Counsel
Jan 2018 — Present · CO, US
In-house counsel supporting LPL Financial and its independent financial advisor network with a focus on investment advisory and retirement platforms and programs.
Education
UC Santa Barbara
Environmental Science
Santa Clara University School of Law
J.D.
Skills
- Financial Services
- Investment Advisory
- Risk Management
- Regulatory Analysis
- Dol Fiduciary Rule
- Investment Advisers Act of 1940
- Legal Writing
- Broker-Dealer Compliance
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