Kate Malone Email & Phone Number
AVP, Trading and Operations Compliance @ LPL Financial
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Kate Malone Location
- Auburn, WA, US
Kate Malone Work
- AVP, Trading and Operations Compliance @ (December 2025 - Present)
- Broker-Dealer and Registered Investment Adviser Compliance Professional @ Self-employed (November 2023 - December 2025)
- Compliance Consultant @ (June 2024 - July 2024)
- U.S Broker-Dealer Chief Compliance Officer @ (April 2021 - December 2023)
- Senior Compliance Manager @ Russell Investment Group (March 2008 - April 2021)
- Director of Compliance @ (January 2003 - January 2007)
- Compliance Specialist @ FINRA (January 1999 - January 2007)
Kate Malone Education
- Some college
Kate Malone Summary
- Kate Malone, based in Auburn, WA, US, is currently a AVP, Trading and Operations Compliance at LPL Financial. Kate Malone brings experience from previous roles at Self-employed, PIMCO, Russell Investments and Russell Investment Group. Kate Malone holds a Some college. Kate Malone has 2 emails and 2 mobile phone numbers on RocketReach.
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