Lisa Roth

President, AML Compliance
Officer and Chief Information Security Officer

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Lisa Roth Bio
 
 

Experience

Lisa Roth has extensive experience managing the operational areas of a variety of financial services firms.  Her professional accomplishments include:

  • Monahan & Roth - President (1999 - Present)

  • Keystone Capital Corporation - CEO, CCO and Majority Owner ( 2001-2012), Registered Principal (2012-2016)

  • ComplianceMax -CEO and Founder (2003-2008)

  • Oversees: Business Strategy, Compliance, Operations, Technology and Tessera's
    San Diego Office

  • Industry Experience: 26 years


Credentials

  • Member of numerous FINRA Committees and Focus Groups including: Membership Committee, Small Firm Advisory Board, Dispute Resolution Task Force, Compliance Official Exam Writing and Review Committee, MAP Task Force, Small Firms and Rules Impact Task Force, and Books and Records Committee

  • FINRA Arbitrator

  • Thomson Reuters Accelus Editorial Board

  • Former Member of Board of Directors for the Third Party Marketers Association

  • Investment Adviser Representative, Registered Representative, Registered Principal, Municipal Securities Principal

  • Series 4, 7, 24, 53, 63, 65,and 99 registrations