Lisa A. Garza, CRPS®

Experience

• 

  Ameriprise Financial

  Nov 1994 - Jun 2007

  Client Sales Assistant
• 

  Morgan Stanley Smith Barney

  Jun 2007 - May 2010

  Registered Client Sales Associate
• 

  NFP Securities, Inc.

  Jun 2010 - Jun 2015

  • Work closely with Sales Supervisor to be advocate for advisors to ensure regulatory compliance.• Perform suitability review across a broad range of products/platforms including but not limited to: Alternative Investments, Annuities (Fixed & Variable), Structured Products, Mutual Funds, 529 Plans. Review both written and electronic correspondence to identify potential regulatory issues• Analyze daily blotters for sales practice issues and policy violations• Work closely with advisors and their assistants to address and resolve business submission issues in a timely manner• Provide assistance with research for investigations and legal inquiries. Show less

  • Trade Supervisor, Sales Supervision

    Jun 2014 - Jun 2015

  • Licensing & Registration Analyst

    Jan 2013 - Jun 2014

  • Operations Support Specialist

    Jun 2010 - Jan 2013
• 

  Kestra Financial (Formerly NFP Advisor Services)

  Jun 2015 - Feb 2024

  Sales Supervisor, Sales Supervision

  Working within a Home office based supervisory team, I am a Designated Sales Supervisor responsible for ensuring that the Advisors within my region are maintaining compliance with both Regulatory standards and Firm policies and procedures..• Serve as an advocate for advisors to ensure regulatory compliance.• Supervisory review of new accounts and trades: Perform suitability reviews across a broad range of products/platforms including but not limited to: Alternative Investments, Annuities (Fixed & Variable), Structured Products, Mutual Funds 529 Plans.• Supervisory review of written and electronic correspondence. • Conduct field office training as required, to include Branch Office Visits.• Engage and resolve escalated trade and other issues as they arise.• Develop and apply understanding of compliance issues, firm/regulatory policy. Show less

• 

  Concorde Investment Services

  Apr 2024 - now

  Sales Supervisor

  Working within a Home office based supervisory team, I am a Designated Sales Supervisor responsible for ensuring that the Advisors within my region are maintaining compliance with both Regulatory standards and Firm policies and procedures..• Serve as an advocate for advisors to ensure regulatory compliance.• Supervisory review of new accounts and trades: Perform suitability reviews across a broad range of products/platforms including but not limited to: Alternative Investments, Annuities (Fixed & Variable), Structured Products, Mutual Funds 529 Plans.• Supervisory review of written and electronic correspondence. • Conduct field office training as required, to include Branch Office Visits.• Engage and resolve escalated trade and other issues as they arise.• Develop and apply understanding of compliance issues, firm/regulatory policy. Show less