Leia Farmer is Deputy Chief Compliance Officer for Securities America, Inc., one of the largest independent broker\/dealers in the nation. Leias primary responsibilities are to oversee the RIA Compliance and Policies and Procedures teams within Securities America. She was a part of the internal task force that analyzed and selected Securities America's social media compliance solution, and will participate in the social media \/ compliance training sessions provided by the firm in 2011. Prior to joining Securities America, Leia worked as the Chief Compliance Officer for Brecek &Young Advisors, Inc., a mid-sized broker\/dealer that was acquired by Securities America in 2009. Leia has over 11 years of industry experience and has a bachelors degree from the University of California Berkeley in Legal Studies and a Masters Degree in Organizational Management from the University of Phoenix. Leia holds the Series 7, 63, 24, 4, and 66 licenses. Learn more about Leia at www.securitiesamerica.com. \r\n
Like what you see? Make sure you're getting it all
Tax Pro Today is the leading information resource for tax preparers and tax professionals – serving the community of practitioners who provide tax preparation, planning and consulting services to individuals and small businesses.