Lisa LaFond brings in-depth independent, compliance experience to the Wolff Financial team. She was previously employed with Purshe Kaplan Sterling from 2004 to 2021. She moved up the ranks at PKS from Assistant Compliance Officer to Chief Compliance Officer, to her last role as Chief Governance Officer. As Chief Governance Officer, Lisa coordinated with counsel all legal-related items, including the coordination of litigation, contract review and Corporate Resolution maintenance. Lisa also 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 also has a Master’s Degree in Business Administration, with a minor in Finance from Canyon College, and earned her Juris Doctor from Taft Law School. She previously held the Series 7, 24 and 63 securities licenses.