Carie Heckler in

Carie Heckler

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Chief Compliance Officer at Lion Street Financial, LLC
📍 Dallas, Texas, United States

Carie Heckler serves as the Chief Compliance Officer at Lion Street, LLC, where she applies her extensive expertise in regulatory compliance and supervisory management. A graduate of West Texas A&M Universitys MBA program, her career is marked by managing large-scale compliance programs and teams.

Her career foundation was built as a Securities Investigator for the Texas State Securities Board, where she conducted on-site inspections of broker-dealers.

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Experience
24 Years
Current Role
Chief Compliance Officer
Job Level
Leadership
Location
Dallas, Texas, United States
Personality Overview

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Communication Style
Decision Approach
Work Preference

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Priorities

Topics Carie cares about

Regulatory Compliance
Her entire career, from state investigator to Chief Compliance Officer, is dedicated to ensuring compliance with SEC, FINRA, and state securities laws.
Supervisory Leadership
Previously managed 30 compliance professionals and provided supervision for 2, 000 sales associates, demonstrating extensive experience in building and managing supervisory infrastructure.
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Career

Work history

11-2012
Chief Compliance Officer
Lion Street Financial, LLC
11-2009 - 12-2011
Chief Compliance Officer
WFG Advisors, LP
9-2005 - 2-2009
Director of Business Practices
AXA Advisors
6-2002 - 9-2005
Branch Controls Specialist
AXA Advisors
5-2000 - 6-2002
Securities Investigator
Texas State Securities Board
In the press

Media appearances

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Education
1998 - 2000
MBA
West Texas A&M University
1995 - 1998
BBA
Texas Tech University
Social presence
in
Behavioral profile

DISC profile (public)

DISC behavioral profile

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