Laura Roberts
Sr. Compliance Analyst
Contact Information:
Phone: (866) 646-3677 x573
Fax: (727) 245-6985
lroberts@usatax.us
Biography
As Senior Compliance Analyst, Laura is involved in the daily activities of American Investment Services and our Investment Advisor Representatives. She oversees review of client suitability, sales and marketing materials. She is also the first line of contact for day-to-day compliance department questions. Her goal as a member of the compliance team is to work hard to ensure the financial goals of the advisors are realized while following regulatory guidelines.
While completing a Business Administration degree from Tampa College, Laura started her 33-year career in the Securities industry at Merrill Lynch. Over her years in the securities industry, she has worked in a wide variety of areas including Sales, Marketing and Compliance. She spent almost 15 years with Wachovia Securities and Morgan Stanley as Operations/Compliance Risk Manager. As part of her supervisory roles, Laura obtained numerous Securities licenses including the Series 7, 63, 9, 10, 24, 27, 53 and 65, along with insurance licenses.
