FacultyFaculty/Author Profile

Lisa A Roth

Keystone Capital Corporation

San Diego, CA, USA

Lisa Roth is a registered principal with Keystone Capital Corporation, a FINRA member firm with its headquarters in San Diego, CA. Ms. Roth holds FINRA Series 4, 7, 24, 53, and 65 licenses. Ms. Roth is also the President of Monahan & Roth, LLC, a professional consulting firm offering regulatory compliance consulting, expert witness and litigation support services. Previously, Ms. Roth was the founder and CEO of ComplianceMAX Financial Corp., a regulatory compliance company offering technology and consulting services to more than 1000 broker-dealers and investment advisers. Ms. Roth’s leadership at CMAX led to the development of audit and compliance workflow technologies now in use by some of the US’s largest (and smallest) broker-dealers and investment advisers. Ms. Roth has also served in various executive capacities with Royal Alliance Associates, First Affiliated Securities and other brokerage and advisory firms. Ms. Roth has served on the FINRA Small Firm Advisory Board, including one year as its chair. She is the past chairman of the National Association of Independent Broker-Dealer (NAIBD), and has served on the Board of the Third Party Marketers’ Association. Ms. Roth has recently completed a 2-year term as a member of the PCAOB Standing Advisory Group. She is an active participant in industry forums, including FINRA committees and trade associations. Ms. Roth is a frequent speaker at industry and regulatory conferences, and serves on ad hoc committees as necessary to promote a culture of continuous improvement for compliance and operations among investment services firms. Ms. Roth resides in CA, but is a native of Pennsylvania, where she attained a Bachelors of Arts Degree and was awarded the History Prize from Moravian College.

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