Lisa Carpenter

Role: Vice President, Compliance, Risk and Legal at LPL Financial
Location: San Diego County, CA, US
LinkedIn followers: 500 followers

LegalView LinkedIn profile

Experience

Vice President, Compliance, Risk and Legal
LPL Financial
Apr 2018 — Present

Skills

Internal Controls
Operational Risk Management
Risk Management
Strategic Planning
Equities
Microsoft Word
Microsoft Access
Banking
Internal Audit
Finance
Business Process Improvement
Microsoft Office
Management
Microsoft Excel
Portfolio Management
Business Analysis
Lean Process Improvement
Customer Service
Mutual Funds
Project Management
Operations Management
Wealth Management
Leadership
Relationship Management
Trading
Securities
Financial Reporting
Series 24
Team Building
Financial Services
Organizational Leadership
Finra
Business Development
Microsoft Powerpoint
Series 7
Investments
Strategy
Budget Management
Financial Analysis
Continuous Process Improvement

Contact information

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Work email
l••••••••@lpl.com
Personal email
•••••@•••••.com
Direct dial
+18•••••••34

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Current company

LPL Financial

Financial Services · 15K employees · Founded 1989 · San Diego, California, United States

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 29,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. Third-party posts found on this profile don’t reflect the views of LPL Financial and haven’t been reviewed by LPL Financial as to accuracy or completeness. The financial professionals associated with LPL Financial may discuss or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state. finra.org sipc.org

lpl.com

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Experience

Vice President, Compliance, Risk and Legal

Skills

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