Raphiella Adamson
Compliance Director at Private Advisor Group- Claim this Profile
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Bio
Experience
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Private Advisor Group
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United States
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Financial Services
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1 - 100 Employee
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Compliance Director
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May 2021 - Present
Morristown, New Jersey, United States Securities offered through LPL Financial, member FINRA / SIPC. For hyperlinks to FINRA and SIPC, please refer to ‘Contact Info’ section above. Investment advice offered through Private Advisor Group, a registered investment advisor and separate entity from LPL Financial. Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed as to accuracy and completeness. The LPL Financial registered representatives associated with this page… Show more Securities offered through LPL Financial, member FINRA / SIPC. For hyperlinks to FINRA and SIPC, please refer to ‘Contact Info’ section above. Investment advice offered through Private Advisor Group, a registered investment advisor and separate entity from LPL Financial. Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed as to accuracy and completeness. The LPL Financial registered representatives associated with this page may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state. Series 6, 63, 7, 24, & 26 registrations held through LPL Financial. Show less
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LPL Financial
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United States
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Financial Services
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700 & Above Employee
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AVP, Business Transitions
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Sep 2006 - Apr 2021
Charlotte, NC AVP, Business Transitions July 2018 - April 2021 • Present LPL Financial technology to prospective Advisors and their staff • Work with on-boarding team to help advisors successfully move their business to LPL VP, Compliance, Legal & Risk – Branch Exams April 2015 – December 2016; August 2017 - July 2018 • Manage a team of local and remote Examiners and managers • Develop and conduct new Branch Examiner training • Produce annual training conference • Orchestrate and… Show more AVP, Business Transitions July 2018 - April 2021 • Present LPL Financial technology to prospective Advisors and their staff • Work with on-boarding team to help advisors successfully move their business to LPL VP, Compliance, Legal & Risk – Branch Exams April 2015 – December 2016; August 2017 - July 2018 • Manage a team of local and remote Examiners and managers • Develop and conduct new Branch Examiner training • Produce annual training conference • Orchestrate and lead bi-weekly training calls and weekly management calls • Review disciplinary letters and actions with Financial Advisors and team members • Act as a compliance resource for internal departments • Regular speaker at corporate events VP, Registrations & Licensing January 2017 – August 2017 • Supervised a team of local and remote personnel • Oversaw registration process for new advisor onboarding • Worked closely with financial institutions to maintain current registrations • Developed a bi-weekly training calendar to enhance employee knowledge of firm and industry • Developed a communication plan regarding Registration’s function to create a more client focused experience Additional roles I've held at LPL Financial include: AVP, Branch Exams August 2014 – April 2015 Manager, Branch Exams October 2013 – August 2014 Principal Branch Examiner, Branch Exams February 2008 – October 2013 Advertising Supervisor, Advertising Compliance September 2006 – February 2008 Show less
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Education
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San Diego State University
B.Sc., Marketing -
FINRA Registrations
Series 6, 63, 7, 24, 26