Profile

Lori Kamen
Chief Compliance Officer
Concorde Investment Services

Lori Kamen is Vice President of Compliance/Marketing for CNL Securities Corp., a registered broker/dealer, member of FINRA/SIPC and distributor of alternative investments and non-traded REITs. In her current role, Ms. Kamen is primarily focused on the advertising and sales literature review and approval processes, working closely with the Marketing Departments, communication teams and issuer counsel. Overall, she is concentrated in the areas of compliance policies, procedure manuals, review processes and surveillance systems. Prior to joining CNL in 2006, Ms. Kamen worked for Securities Service Network, Inc. and SSN Advisory, Inc. as the Assistant Director of Compliance. She has also held compliance roles at Commonwealth Financial Network, Linsco Private Ledger Financial Services and Mutual Service Corporation. She has over 15 years of compliance and securities firm experience. Ms. Kamen graduated from Ithaca College in Ithaca, New York, with a Bachelor of Arts in Politics. She currently holds her FINRA Series 4, 7, 24, 53, 63, 65 and 79 licenses. She also serves as an arbitrator for FINRA Dispute Resolution and is the current Chairperson of the Investment Program Association ("IPA" www.ipa.com) Compliance Committee.


Attendee has not specified business demographics


Back