Emily Zerbato

Compliance Analyst

Emily Zerbato, Compliance Analyst, is responsible for developing and managing LPAM’s robust compliance platform which allows our advisors to protect and safely grow their current investment business.

Emily’s prior experience includes seven years of providing consulting services on investment adviser and broker-dealer regulatory matters. Her primary role consisted of conducting onsite mock examinations to evaluate the adequacy and effectiveness of compliance programs representing firms of all sizes. In this capacity she prepared registration documents; developed written supervisory procedures; reviewed personal securities transactions, e-mail correspondence, advertising and marketing materials; and consulted on overall compliance with SEC and State securities regulations.

In 2012, she earned the Investment Adviser Certified Compliance Professional Designation (IACCP®), which is granted upon completion of instructor-led program of study, passing a certifying examination, and meeting work experience, ethics and continuing education requirements.  Emily also earned her Bachelor’s Degree in Psychology, graduating Magna Cum Laude in 2014.