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Luz A. is listed as Regional Supervision Principal at LPL Financial, a company with 7900 employees, based in Bronx, New York, United States. AeroLeads shows a work email signal at lpl.com and a matched LinkedIn profile for Luz A..
Luz A. previously worked as Central Supervision Principal at Lpl Financial and Regional Supervision Manager at Aig Royal Alliance.
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Experience in the Financial Services Industry in Sales and Field Supervision with Domestic and International brokerage background. Extensive product knowledge including; Equities, Bonds, Mutual Funds, UITs, Fixed & Variable Annuities, REITs, and other Alternative Investments.Currently in a supervision role, conducting suitability review of First Line Supervisor’s Transactions, New accounts, account changes, E-mail review and Written Correspondence. Maintain an ongoing positive relationship with managers to address concerns and educate them on supervisory process.LICENSES:
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New York
Responsible for ensuring advisors are meeting requirements of supervision set forth by regulatory agencies and firm policies. Review and approve new account applications, transaction reviews, position concentration reviews, in addition to other responsibilities of supervision.
Regional Supervision Manager – Western Region Provide guidance, tools and training to First Line Supervisors to help them manage a proficient business and compliant office. Supervise FLS for the Western Region, ensuring that they adhere to company policies, procedures and regulatory regulations.Conduct daily transaction and suitability reviews for all.
Supervised 20+ Financial Advisors and Sales assistants in all compliance related areas; Daily transactions review, New Account approvals, Financial Advisor annual audits, Email review.
Supervised the firm's managing Executives within a specific geographic territory (Southeast) in all compliance related issues, ensuring they adhere to the firm's and external regulator's (NASD,FINRA) regulatory guidelines.
Other employees you can reach at lpl.com. View company contacts for 7900 employees →
Judy Tolentino
Colleague at Lpl Financial
San Diego, California, United States, United States
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KG
Kelly G. Higgins
Colleague at Lpl Financial
Eugene, Oregon, United States, United States
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Steven Kay
Colleague at Lpl Financial
Fort Mill, South Carolina, United States, United States
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Titus Ford
Colleague at Lpl Financial
Huntersville, North Carolina, United States, United States
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JC
Jay Collier
Colleague at Lpl Financial
San Diego, California, United States, United States
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Madeline Leahy, Cmfs®
Colleague at Lpl Financial
Jersey City, New Jersey, United States, United States
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AD
Ankush D.
Colleague at Lpl Financial
United States, United States
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JL
Jd Lynn Chiong
Colleague at Lpl Financial
San Diego Metropolitan Area, United States
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RZ
Riki Zaman
Colleague at Lpl Financial
London, England, United Kingdom, United Kingdom
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SR
Sharndereia Reid-Davis
Colleague at Lpl Financial
Gastonia, North Carolina, United States, United States
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Quick answers generated from the profile data available on this page.
Luz A. works for LPL Financial.
Luz A. is listed as Regional Supervision Principal at LPL Financial.
AeroLeads has found 1 work email signal at @lpl.com for Luz A. at LPL Financial.
Luz A. is based in Bronx, New York, United States while working with LPL Financial.
Luz A. has worked for Lpl Financial, Aig Royal Alliance, and Citi Smith Barney/Int'L Personal Banking.
Luz A.'s colleagues at LPL Financial include Judy Tolentino, Kelly G. Higgins, Steven Kay, Titus Ford, and Jay Collier.
You can use AeroLeads to view verified contact signals for Luz A. at LPL Financial, including work email, phone, and LinkedIn data when available.
Luz A. is listed with skills including Cfp.
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