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Lisa Evans

Senior Director

BS, San Diego State University

Ms. Evans provides compliance consulting to investment advisor clients, which may include providing advice and guidance on firm and individual registrations, examinations, firm policies and procedures, federal and state regulatory rule interpretations, and risk assessments. She holds the Series 7 and 24 registrations and has more than 20 years of Financial Services experience specializing in advisory compliance and consulting.

Lisa Roth
Lisa Roth