Liz Legacy

Elizabeth “Liz” Legacy currently serves as the Executive Director and Chief Compliance Officer (CCO) of CUSO Financial Services, LP and Sorrento Pacific Financial, LLC. Liz is responsible for the administration of the compliance program including day-to-day compliance matters for both firms. Liz has over 21 years’ experience in the securities industry, with a diverse background in supervision and compliance, in areas such as branch exams, AML, communications with the public, surveillance, regulatory affairs, risk, and compliance consulting. In addition, she currently holds the following FINRA licenses: Series 7, Series 24, Series 53, and the Series 66 as well as the following designations: CRCP® and CSCP®.

7e. BD/IA – Effective Supervisory Programs for Larger Firms (Intermediate - OPEN)