Speakers

Lori Kamen

President and Chief Compliance Officer

  • Company:Aurora Securities, Inc.
  • Short Bio:Lori Kamen recently served as the Chief Compliance Officer (CCO) for Concorde Investment Services, LLC, a registered broker-dealer, and member of FINRA and SIPC and Concorde Asset Management, LLC, an investment adviser registered with the Securities and Exchange Commission (SEC). Lori has served in a variety of compliance roles at well-known broker-dealers and investment adviser firms for the past 23+ years. She is a multi-business line financial services compliance leader with solid common-sense approach, combined with a driving passion in creating and developing business processes that are streamlined, efficient and compliant with industry regulations, while at the same time, making it easy for the customer to do business. She has experienced progressive responsivity and demonstrated success in designing and testing compliance policies and procedures to identify and mitigate risks for financial services companies, broker-dealers, investment advisors, alternative investment real estate product sponsors, banks, and insurance firms. She also serves as a neutral party and industry arbitrator for FINRA Dispute Resolution since 1999. Lori grew up in Westport, Connecticut and graduated from Ithaca College in upstate New York. She earned her Bachelors’ degree in Politics and a minor in Interpersonal Speech Communications. She holds the Series 4, 7, 24, 53, 63 and 66 licenses, as well as opting into the Series 79 and 99 licenses. Lori is an avid dog lover and currently has two dogs, Max (a tiny Yorkie) and Princess (an even tinnier Maltese).
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