- OSJ Delegate
- Oversee compliance across the Corporate, Hybrid and RIA platforms
- Implement new processes and procedures to enhance compliance oversight
- Conduct Advisor audits
Cari Smith has been working with LPL Financial since 1996 and was a Principal Examiner with LPL’s Branch Exams team for 14 years. She serves as the Director of Compliance and OSJ Delegate for Western Wealth Management and Western Wealth Advisors. She views the compliance department as an ally and resource for advisors.
Cari is originally from sunny San Diego, but moved to CO in 2006 because she loves the mountains and the seasons. (Like all the other transplants now crowding the highways.) She has a degree in Business Administration from Point Loma Nazarene University in San Diego. She currently holds the Series 7, 66, and 24 registrations.*
Outside of work Cari enjoys hiking, running, traveling and relaxing with a glass of wine and reading.
*Series 7 and 24 registrations are held with LPL Financial and Series 66 registration is held with both LPL Financial and Western Wealth Management.
Securities offered through LPL Financial, Member FINRA/SIPC. Investment advisory services offered through Western Wealth Management, a Registered Investment Adviser and separate entity from LPL Financial.