Cathy Lauria

Cathy Lauria

Compliance Manager at The Leaders Group
Littleton, Colorado, United States

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Work Experience

The Leaders Group, Inc., Member FINRA/SIPC

Compliance Manager

2014-03-01 - Present

Parsonex Securities, Inc.

Compliance Analyst

2012-09-01 - 2014-03-01

ING U.S.

Compliance Manager

2000-06-01 - 2012-04-01

MULTI-FINANCIAL SECURITIES CORP

Registration Manager

1991-09-01 - 2000-06-01

BOETTCHER & COMPANY

Senior Payroll and Registration Administrator

1980-01-01 - 1991-09-01

PERSHING & COMPANY

Assistant Human Resource Manager

1972-01-01 - 1979-12-01

Skills

variable life variable annuity vul va annuity index annuity fixed index annuity fia eia equity index annuity ria iar investment advisor broker dealer bd feebased aum mutual funds

Languages

English