Team Swayze welcomes our newest member! Lisa LaFond started this week. Are some of you thinking, “Hmm, why does that name sound familiar?” She brings with her an amazing compliance background to the Swayze team as she was previously employed with Purshe Kaplan Sterling from 2004 to 2021.
At PKS she moved up the ranks from Assistant Compliance Officer, to Chief Compliance Officer, to her last role as Chief Governance Officer. As Chief Governance Officer, Lisa coordinated with counsel all legal-related items, including the coordination of litigation, contract review and Corporate Resolution maintenance. Lisa also worked for The Ayco Co., a Goldman Sachs Co., as a Financial Analyst.
Lisa has a Bachelor’s Degree in Business Economics, with a minor in Accounting from the State University of New York at Oneonta. She also has a Master’s Degree in Business Administration, with a minor in Finance from Canyon College, and earned her Juris Doctor from Taft Law School. She holds the Series 7, 24 and 63 securities licenses.
We are incredibly excited to have Lisa join our team. Lisa will be working remotely from her home in Schenectady, NY. And, while being a dog lover is not a requirement to work for Swayze, we were relieved to find out she loves dogs too. Pictured is her dog, Stewie.