Lisa began her career with our firm in 1990 and is a graduate of California Polytechnic State University, Pomona, with a bachelor's degree in Finance and Law. Since 1998 she has managed our office in both service and administrative capacities and has maintained the FINRA Series 7 and Series 66 securities licenses. She is also a Registered Assistant with United Planners. In 2004 Lisa was appointed Chief Compliance Officer (CCO) and spent seven years in that capacity mandating and controlling the regulatory matters within the firm. In 2010 Lisa began focusing her career within the corporate finances of the firm and took a back-up role to compliance. Lisa also works in a human resource capacity with regard to staffing, licensing and administration of payrolls, wages, and firm retirement plan functions.