LaPorte, Becki

Becki is the Vice President and AML Compliance Officer for Advisor Group.  The four broker-dealers that comprise Advisor Group are FSC Securities, Royal Alliance Associates, SagePoint Financial and Woodbury Financial Services.  Advisor Group is one of the largest networks of independent broker-dealers in the United States.  Becki’s team is responsible for reviewing and investigating activity across the financial crime spectrum including AML, fraud, and account intrusion.  Prior to Advisor Group, Becki served as an Associate Director and Lead Compliance Trainer for FINRA®.  FINRA® is the largest independent regulator of the securities industry in the United States.  She developed and delivered training to FINRA examiners and investigators.  She also provided guidance and consultation on open examinations and investigations specific to fraud and AML. She possesses nearly 20 years of financial services experience including 8 years in the banking industry.  Becki is a member of the CFCS Charter Class.  She is an alumnus of Penn State University.