Sonja Larimore, Esq., IACCP, AIF

Observer
DISC Type : ic

Chief Compliance Officer at United Capital Financial Advisors, LLC

La Mesa, California, United States

Overview

Sonja Larimore is a Chief Compliance Officer with extensive experience in overseeing SEC regulations and addressing regulatory risks for financial advisory firms. Holding a Doctor of Law degree, she specializes in cybersecurity, policy development, and managing compliance activities.

Outside of her legal and compliance work, Sonja is a Certified Instructor for Jazzercise, demonstrating a passion for fitness and motivation. She also maintains an active interest in her alma mater, San Diego State University, and follows The Wall Street Journal.

She authored a publication on the international legal issue of child soldiering.

Personality Overview

Example Seeker

Value Driven

Assertive

They are generally good communicators and can be hard to convince.  They can sound friendly and charming but can quickly change gears to become inquisitive and probing. They ask a lot of questions and rely heavily on information and collaterals.

Topics They Care About

RIA Compliance
Her entire career is focused on SEC compliance for Registered Investment Advisors, managing policies, procedures, and controls to mitigate regulatory risk.
Cybersecurity & Risk
Lists cybersecurity as a key specialty, focusing on protecting firm and client data as a core part of her compliance responsibilities.
Team Building
Her professional feed shows a focus on hiring and talent acquisition, indicating an interest in building strong, capable teams.

Media Appearances

Sonja has no verified media appearances

Work History

11-2023
Chief Compliance Officer at United Capital Financial Advisors, LLC
1-2022 - 11-2023
Senior Compliance Manager at Creative Planning
6-2020 - 12-2021
Chief Compliance Officer at Reilly Financial Advisors
5-2018 - 6-2020
Managing Director, Operations & Compliance at Reilly Financial Advisors
12-2014 - 5-2018
Senior Vice President- Operations and Compliance at Reilly Financial Advisors

Education

2016 - 2020
Doctor of Law - JD from Thomas Jefferson School of Law
2001 - 2005
Bachelor of Arts from San Diego State University

More Information

Social Presence :

Prographics :

Exp : 21 Location : La Mesa, California, United States Job Level : Leadership Designation : Chief Compliance Officer at United Capital Financial Advisors, LLC
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Insights For Selling To Sonja

During A Call Or A Meeting

DO's

  • Help them realize that there is no personal risk in making this decision
  • Build rapport, it will come handy to handle hard questions later
  • Invite them for a social do but don’t rely solely on the relationship

DONT's

  • Don’t try to rush them into a decision, provide all necessary information first
  • Don’t brush off any concerns, take all questions seriously
  • Avoid making offhand commitments

When Cold Calling

When Writing An Email

While Negotiating & Closing

    The secret to closing fast with Sonja is

  • Proven value, strong testimonials are important for them, rapport can impact decisions a little.
  • Will you ever get a clear answer from Sonja

  • They are practical and friendly, don't expect a clear-cut response often.

Insights For Deal Planning

    How fast (or slow) will Sonja move?

  • They like to be detailed and take their time to arrive at decisions.
  • Can Sonja take some risk or not?

  • They weigh all decisions systematically and are unlikely to take many risks.

You And Sonja

Personality Compatibility


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