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Lisa Sullivan

Analyst

BS, Hofstra University

Lisa Sullivan has over 33 years of experience in the financial services industry. She works with Foreside’s Managing Directors and Directors who serve as chief compliance officers and their clients to implement and manage web-based technology platforms for compliance program monitoring and testing including Code of Ethics and Personal Trading administration, compliance training, email, and social media reviews. She also serves as a compliance consultant to several investment advisors, broker-dealers, business development companies, and private funds ranging from startups to firms with over $3 billion in AUM.

Prior to joining Foreside Ms. Sullivan worked for 13 years at Nomura Securities International, Inc. There she held several different positions including serving as the assistant to the office of the chief operating officer and also provided sales and compliance support to the Equity and Fixed Income Divisions.  Prior to Nomura, she worked at Prudential Financial and Citigroup as an assistant to one of the firm’s leading wealth advisors.

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