Katy McBride is LJM’s vice president and chief compliance officer. Ms. McBride has over 12 years of experience in compliance and operations management with both start up and fortune 500 organizations. Prior to her role at LJM, Ms. McBride provided consulting services to registered investment advisors and broker dealers, where she developed and maintained full service customized compliance programs in addition to serving as chief compliance officer and director of operations for several of her clients. Ms. McBride’s expertise includes regulatory compliance, broker-dealer compliance and risk management, investment advisor registrations, regulatory filings, and operations management. Ms. McBride has her bachelor’s degree from the University of California at Davis
Ms. McBride is registered with the CFTC as an AP and Principal of LJM and possesses her FINRA Series 3, Series 7, Series 9, Series 10, and Series 66 licenses.