Carie Heckler Chief Compliance Officer
In her role as Chief Compliance Officer for Lion Street Financial, Carie Heckler develops, manages and directs the Broker-Dealer and Registered Investment Advisory Program, including compliance with all regulatory requirements, and provides compliance and supervisory functions for associated persons. Carie has worked in the financial industry since 2000. Prior to joining Lion Street, she served as CCO of WFG Advisors, LP, an SEC registered investment advisor. She also spent 7 years with AXA Advisors, managing and directly supervising 30 branch compliance professionals supporting 2,276 sales associates across 20 branches covering the Western half of the United States. Carie began her career as an Investigator with the Texas State Securities Board Inspection and Compliance Division, where she participated in several onsite exams of registered broker-dealers within the state of Texas evaluating all lines of business.