FacultyFaculty/Author Profile
Cece Baute  Mavico

Cece Baute Mavico

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


Cece is a managing attorney in LPL’s Compliance, Legal, and Risk organization, specifically the Head of Regulatory Enforcement. She and her team are responsible for representing the firm in regulatory enforcement and complex matters. 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 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:
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
FINRA Regulatory Framework Applicable to Dual Registrants - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
Web Segment  Web Segment Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Thursday, February 08, 2018
MP3 Audio  MP3 Audio Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Broker-Dealer Supervision; Compliance Programs: Recordkeeping, Tuesday, July 18, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Thursday, February 08, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Broker-Dealer Supervision; Compliance Programs: Recordkeeping, Tuesday, July 18, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Thursday, February 08, 2018
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 25, 2017, New York, NY
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 14, 2018, New York, NY
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