Lisa LaFond

Chief Compliance Officer

Lisa LaFond is our Chief Compliance Officer and a Senior Compliance Consultant at Swayze, LLC.. She brings in-depth compliance experience as she was previously employed with Purshe Kaplan Sterling Investments (PKS) for seventeen years. She moved up the ranks at PKS from Assistant Compliance Officer to Chief Compliance Officer at both PKS and PKS Advisory Services, an SEC Registered RIA, to her last role as Chief Governance Officer. As Chief Governance Officer, Lisa coordinated with counsel on  all legal-related items, including litigation preparation, contract review and Corporate Resolution maintenance.

Lisa also previously worked for The Ayco Co., a Goldman Sachs Co., as a Financial Analyst.

Lisa has a Bachelor’s Degree in Business Economics, with a minor in Accounting from the State University of New York at Oneonta. She  has a Master’s Degree in Business Administration, with a minor in Finance from Canyon College, and earned her Executive Track Juris Doctor from Taft Law School.  She has held the Series 7, 24 and 63 securities licenses.