Lisa Carpenter Email & Phone Number
Vice President, Compliance, Risk and Legal @ LPL Financial
5 free lookup(s).
If you need more lookups,
subscriptions start at $34 USD/month.
Lisa Carpenter Location
- California, United States
Lisa Carpenter Work
- Vice President, Compliance, Risk and Legal @ (April 2018 - Present)
- Head of Broker Dealer Operations @ (November 2016 - February 2018)
- Director, Institutional Specialized Services @ (June 2013 - November 2016)
- Director and Vice President TD Ameritrade Trust Company @ (March 2008 - June 2013)
- Director, Operations @ Fiserv Trust Company/ Fiserv ISS (December 2002 - March 2008)
- Section Manager and AVP, Operations @ (August 1999 - February 2002)
- Supervisor, Operations @ (July 1998 - August 1999)
- Operations Analyst @ (October 1996 - July 1998)
Lisa Carpenter Skills
- Mutual Funds
- Customer Service
- Financial Services
- Series 7
- Investments
- Securities
- Wealth Management
- Trading
- Business Analysis
- Series 63
- Series 24
- Business Process Improvement
- Organizational Leadership
- Business Development
- Strategic Planning
- Operations Management
- Operational Risk Management
- Relationship Management
- Finance
- Finra
- Portfolio Management
- Risk Management
- Management
- Equities
- Leadership
- Team Building
- Continuous Process Improvement
- Lean Process Improvement
- Banking
- Strategy
- Budget Management
- Microsoft Excel
- Microsoft Word
- Microsoft PowerPoint
- Microsoft Office
- Microsoft Access
- Financial Analysis
- Internal Controls
- Internal Audit
- Financial Reporting
- Model Portfolios
- Project Management
- Sales Management
Lisa Carpenter Summary
- Lisa Carpenter, based in California, United States, is currently a Vice President, Compliance, Risk and Legal at LPL Financial. Lisa Carpenter brings experience from previous roles at Cetera Financial Group, TD Ameritrade Institutional, TD Ameritrade and Fiserv Trust Company/ Fiserv ISS. With a robust skill set that includes Mutual Funds, Customer Service, Financial Services, Series 7, Investments and more. Lisa Carpenter has 1 emails and 4 mobile phone numbers on RocketReach.
Looking for a different Lisa Carpenter?
Find contact details for 700 million professionals.
G2 Crowd Trusted
300K+ Plugin Users
© 2026 RocketReach.co