Biography
Lori Neidel has more than 15 years of experience providing attentive compliance care to advisers of all sizes. A senior securities lawyer, Lori has extensive subject matter knowledge and leadership gained as founder and CEO of Adviser Compliance Services, a provider of regulatory compliance and government relations services for registered investment advisers of all sizes across the United States.
She brings her clients a wealth of securities industry experience, including:
- A solid insider perspective as a former Missouri state securities chief enforcement counsel
- Years of experience as a securities lawyer in private practice serving independent advisers for their needs for regulatory affairs counsel
- Familiarity with institutional assets as a past board member for the Missouri State Employees Retirement System
In addition, Lori is a frequent speaker on compliance topics for national adviser organizations.
Services and Industries
Background
Lori was the founder/CEO of Adviser Compliance Services before it combined with ATGS.
Education
- Saint Louis University School of Law (J.D., cum laude, 1995)
- Saint Louis University (B.S., 1986)
- Business Administration
- FINRA Wharton Institute (2009)
- Certified Regulatory and Compliance Professional
Admissions
Professional Activities
- Missouri Bar Association
- American Bar Association
- National Society of Compliance Professionals
Charitable and Civic Involvement
- Rotary Club of Columbia, Missouri
