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Cece Baute  Mavico

Cece Baute Mavico

LPL Financial
Senior Vice President and Associate General Counsel
Fort Mill, SC, USA


As a senior vice president and associate counsel for LPL Financial, Cecilia (“Cece”) is a managing attorney in Legal, specifically Regulatory Investigations and Counseling.  She and her team are responsible for handling regulatory inquiries and investigations, and advising business and compliance partners.  She is located in LPL Financial’s Fort Mill office. Prior to joining LPL Financial in 2015, Ms. Mavico was in private practice where she focused on securities regulatory and enforcement matters and was a senior regulatory specialist with the NASD in Washington, DC.  Ms. Mavico started her career in the financial services industry 18 years ago in compliance and supervisory roles and held various securities and insurance licenses.  Ms. Mavico received a Bachelor of Science in Finance from Trinity University and a Juris Doctor from American University, Washington College of Law.  She is a member of the New York, District of Columbia and Texas Bar Associations.
Cece Baute Mavico is associated with the following items:
Web Segment  Web Segment Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Friday, February 10, 2017
SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Friday, February 10, 2017
Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
CHB Chapters  CHB Chapters FINRA Regulatory Framework Applicable to Dual Registrants - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Friday, February 10, 2017
MP3 Audio  MP3 Audio SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Friday, February 10, 2017
Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Broker-Dealer Supervision; Compliance Programs: Recordkeeping, Tuesday, July 18, 2017
Transcripts  Transcripts SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Friday, February 10, 2017
Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Tuesday, February 14, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Friday, February 10, 2017
Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Broker-Dealer Supervision; Compliance Programs: Recordkeeping, Tuesday, July 18, 2017
On-Demand Web Programs  On-Demand Web Programs Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Tuesday, February 14, 2017, New York, NY
Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 25, 2017, New York, NY
Live Seminar  Live Seminar Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
Live Webcast  Live Webcast Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Philadelphia, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Pittsburgh, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Mechanicsburg, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Nashville, TN
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