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Lisa LaFond

Lisa LaFond

Financial Analyst

Followers of Lisa LaFond499 followers
location of Lisa LaFondAlbany, New York, United States

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  • Timeline

  • About me

    Senior Compliance Consultant at Swayze LLC

  • Education

    • Taft School of Law

      2014 - 2017
      Juris Doctor Law

      Please note, Ms. LaFond has not sat for a state bar exam and therefore is not licensed to practice law.

    • Canyon College

      2005 - 2009
      Master of Business Administration - MBA Finance, General

    • Mount Saint Mary College

      1996 - 1998
      Accounting and Finance

    • SUNY Oneonta

      1998 - 2001
      Bachelor's degree Business/Managerial Economics

  • Experience

    • Ayco, a Goldman Sachs Company

      Jun 2002 - Jun 2004
      Financial Analyst

    • Purshe Kaplan Sterling Investments (PKS)

      Jun 2004 - May 2021

      • Chief Governance Officer

        Nov 2019 - May 2021

      • Deputy Legal Officer

        Jan 2019 - Nov 2019

      • Chief Compliance Officer

        Jun 2004 - Jan 2019

    • PKS Advisory Services, LLC

      Apr 2020 - Mar 2021
      Interim President/CCO

    • Swayze LLC

      May 2021 - now
      Senior Compliance Consultant

  • Licenses & Certifications

    • Registered Principal

      FINRA (Financial Industry Regulatory Authority)
      Oct 2004

    • BlueSky Exam

      FINRA (Financial Industry Regulatory Authority)
      Jul 2004

    • Registered Representative

      FINRA (Financial Industry Regulatory Authority)
      Dec 2002