2019 Fall Conference Speaker
Lori Neidel
Complementing her existing practice, the Law Office of Lori J. Neidel LLC, Lori formed Adviser Compliance Services as a happy medium between attentive, attorney-level care at reasonable, CCO-level rates.
Lori brings firms a wealth of securities industry experience and enthusiasm, including:
•A solid “insider” perspective as a former Missouri state securities chief counselor
•Ongoing experience as a securities lawyer in private practice
•Familiarity with institutional assets as a board member for the Missouri State Employees Retirement System
•A quiet sense of confidence in the value that good compliance can add to a firm’s best practices
•Appreciation for the business models and fiduciary relationships cultivated by small- to mid-sized RIA firms
•A warm and approachable personality, in a system that sometimes takes itself just a little too seriously
Lori received her law degree and undergraduate degree from St. Louis University. In 2009, she earned the CRCP designation from the FINRA Wharton Institute for Certified Regulatory and Compliance Professionals. Lori is engaged in professional organizations by being a member of the Greater St. Louis Compliance Roundtable. She previously served as the Vice Chair of the Board of Trustees for the State of Missouri’s $8 billion employee retirement system. Lori also enjoys being active in her Columbia, Missouri community by being an engaged member in her local Rotary chapter.
Lori brings firms a wealth of securities industry experience and enthusiasm, including:
•A solid “insider” perspective as a former Missouri state securities chief counselor
•Ongoing experience as a securities lawyer in private practice
•Familiarity with institutional assets as a board member for the Missouri State Employees Retirement System
•A quiet sense of confidence in the value that good compliance can add to a firm’s best practices
•Appreciation for the business models and fiduciary relationships cultivated by small- to mid-sized RIA firms
•A warm and approachable personality, in a system that sometimes takes itself just a little too seriously
Lori received her law degree and undergraduate degree from St. Louis University. In 2009, she earned the CRCP designation from the FINRA Wharton Institute for Certified Regulatory and Compliance Professionals. Lori is engaged in professional organizations by being a member of the Greater St. Louis Compliance Roundtable. She previously served as the Vice Chair of the Board of Trustees for the State of Missouri’s $8 billion employee retirement system. Lori also enjoys being active in her Columbia, Missouri community by being an engaged member in her local Rotary chapter.
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