Lisa Roth is an executive with leadership and entrepreneurial experience in the financial services industry. Lisa is the president of Monahan & Roth, LLC, a professional consulting firm offering compliance guidance to brokerage firms, investment advisers and related financial services firms. In 2003, she founded ComplianceMax Financial Corp (cMAX), a fintech firm that offered then-revolutionary audit and compliance workflow technologies. Monahan & Roth continues to provide consulting services to RegTech and FinTech firms.

Lisa holds FINRA Series 7, 24, 53, 4, 14, 65, 99 licenses, and has served in executive capacities at broker-dealers and investment advisers for more than 3 decades. She is currently a registered principal with R. F. Lafferty & Co., a NY-based brokerage firm.

Lisa has served 3 consecutive terms as a member of FINRA’s National Arbitration and Mediation Committee and has been a member of the FINRA’s Series 14 (Compliance Officer Exam) Item Writing Committee for more than 15 years. Lisa was unanimously selected by her peers to serve as the Chairman of FINRA’s Small Firm Advisory Board for one of a total of four years of service on the Board from 2008 – 2012, and has also served on FINRA’s Membership Committee.  Lisa was appointed to service on the PCAOB Standing Advisory Group, representing the interests of small broker-dealers and investment advisers. She is an active participant in other industry forums including speaking engagements and trade associations.

Lisa resides in CA, but is a native of Pennsylvania, where she attained a Bachelor of Arts Degree and was awarded the History Prize from Moravian College in Bethlehem, PA. Outside the workplace, Ms. Roth competes in endurance cycling and competitive rowing events.