SENIOR VICE PRESIDENT

CHIEF COMPLIANCE OFFICER

Industry Experience: 25+ years

• Graduate, University of Houston – B.S., Economics
• Prior to L&W, extensive experience as Chief Compliance Officer, Manager / Director at various Registered Broker Dealers & Investment Advisers
• Responsible for L&W’s Compliance Program Policy & Code of Ethics and overall Compliance Program
• Chairs the firm’s Compliance Committee, serves on other committees, and advises Senior Management on regulatory compliance matters, as required
• Certified Regulatory and Compliance Professional (CRCP)^®, graduate, 2011
• National Society of Compliance Professionals, member since 1994
• Born in Venezuela and raised in Houston; married, proud Aggie Dad of two grown sons