Lia’s experience spans over 30 years of accounting, finance, operations, and human resources in the securities brokerage industry.
She joined the firm in 2022 from Capitol Securities Management, where as CFO and HR Director she was responsible for all critical aspects of daily operations; before that, she held progressively senior roles at Wachovia Securities spanning regulatory reporting, performance and control, and controller of the Independent Brokerage Group. Earlier in her career, she was a Staff and In-Charge Accountant at KPMG Peat Marwick. Her expertise covers financial modeling, regulatory reporting, internal controls, compensation plan development, budget management, acquisition due diligence, and business continuity planning, with a track record that includes identifying over $1 million in revenue opportunities through correspondent billing audits and reducing the monthly accounting close to a two-day process.
Lia holds a Bachelor of Science in Accounting from the University of Richmond’s E. Claiborne Robins School of Business, is a Certified Public Accountant in Virginia, completed the Securities Industry Institute Program at the Wharton School, and maintains a Series 27 (Financial and Operations Principal) license.
