ÂÜÀòÂÒÂ×

Carol has been a part of the Allen & Company team for 20 years.

A former Trader for a nationally recognized broker dealer, Carol serves as LPL Regional Supervisory Principal and Chief Compliance Officer for Allen & Company. She is responsible for day-to-day senior leadership of our compliance efforts for the retail brokerage and investment advisory.

With more than 30 years of industry experience, Carol serves on the Executive Committee at Allen & Company, the Advisory Board of the Florida Security Dealer’s Association and the National Society of Compliance Professionals.