Carie Heckler

Carie Heckler serves as Chief Compliance Officer for Lion Street Financial, LLC, a registered broker dealer and FINRA member (“LSF”), and Lion Street Advisors, LLC, an SEC registered investment adviser (“LSA”). In her role as Chief Compliance Officer, Carie is tasked with administering each of LSF’s and LSA’s compliance program. Carie has worked in the financial services industry since 2000. Prior to joining the Lion Street family, she served as Chief Compliance Officer of WFG Advisors, LP, an SEC registered investment adviser. She also spent seven years with AXA Advisors, managing and supervising 30 branch compliance professionals, supporting thousands of sales associates across 20 branches covering the western half of the United States. Carie began her career as an Investigator with the Texas State Securities Board Inspection and Compliance Division, where she participated in several onsite exams of registered broker-dealers within the state of Texas.

8e. BD/IA – Insurance Compliance: Balancing State and Federal Regulations (Intermediate - OPEN)