Sonja Larimore, Esq., IACCP, AIF in

Sonja Larimore, Esq., IACCP, AIF

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Chief Compliance Officer at United Capital Financial Advisors, LLC
📍 La Mesa, California, United States

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.

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Experience
21 Years
Current Role
Chief Compliance Officer
Job Level
Leadership
Location
La Mesa, California, United States
Personality Overview

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Communication Style
Decision Approach
Work Preference

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Priorities

Topics Sonja cares 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.
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Career

Work history

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

Media appearances

No media yetWe could not find public media appearances for this person.
Education
2016 - 2020
Doctor of Law - JD
Thomas Jefferson School of Law
2001 - 2005
Bachelor of Arts
San Diego State University
Social presence
in
Behavioral profile

DISC profile (public)

DISC behavioral profile

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