Stacey Lavender

Stacey Lavender currently serves as the firm’s Chief Compliance Officer, BD. Stacey has over 25 years of experience in the securities industry, ranging from compliance, supervision, and operations, with a focus on the implementation of industry regulations and compliance guidelines. During her tenure in the securities industry, Stacey’s has worked for various retail and institutional sales and trading broker-dealers as well as M&A advisory and private placement firms serving in a supervisory capacity and effectively managing the compliance, operations, and back-office departments.   Stacey also serves as a FINRA Arbitrator for the industry and is a US Army Veteran with 9 years’ service.