Lori holds the Series 4, 7, 24, 53, 63, 66, 79 and 99 licenses. She has served in a variety of compliance and officer roles for various broker dealers, investment advisors, and reputable firms since 1997. She is a strong compliance leader with common sense, change management and leadership experience working closely with management, registered persons, and financial services industry organizations. Most recently, she served as the President and Chief Compliance Officer for a mid-size retail broker-dealer and a compliance officer for an SEC registered investment advisor.

In addition to her extensive regulatory background, Lori brings strategic value to the firm’s investment banking platform by integrating compliance into the transaction lifecycle from engagement through closing. Her deep understanding of broker-dealer and advisory frameworks strengthens risk management and supports disciplined execution across capital markets and advisory mandates. Lori partners closely with the Republic team to ensure regulatory alignment without compromising efficiency, helping the team navigate complex offerings and disclosure requirements with confidence while reinforcing a culture of accountability and client trust.

Lori attended Ithaca College in upstate New York with a bachelor’s degree in politics and a minor in interpersonal communications. Lori also has a passion for securities compliance and helping registered persons and firms to achieve compliance with the myriad of complex rules and regulations.