Director of Compliance

Lyn Horowitz

About Lyn

Lyn’s objective is to ensure the firm, its advisors, and staff are compliant with our internal policies and procedures and all regulatory and state requirements.  She develops processes to maintain up-to-date compliance standard practices and remains in contact with our affiliated advisors on a daily basisLyn remains updated regarding the formality of all policies and regulations and how they are practically applied to everyday advisor usage in an ever-changing environment.  Lyn holds her FINRA Series 7 and 24 licenses, along with her Florida 2-15 license.

What’s the greatest lesson you’ve learned in life thus far?

Embrace the todays. Accept the yesterdays. Look forward to the tomorrows. Remember that tomorrow never comes and yesterday is forever gone.

If you could have any one super power, what would it be?

Strength and Endurance – Whether in personal or work life, we are all faced with challenges. They can appear as impossible feats without reward. It’s finding ways and strength to embrace and work through the challenges to find a positive outcome, even in the face of adversity.

What is something unrelated to your job that you love doing?

When it’s just me, it’s music – I play both piano and guitar. This is my go to. When it’s with other, it’s sports – tennis, skating, skiing and bowling.

When it’s with others, it’s sports – tennis, skating, skiing and bowling.

What is your favorite food?

It’s a toss-up:  pizza ranks way up there but so do beignets, french fries, and chocolate for junk food.  Real dinner food would be chicken parmigiana.

What is the #1 song on your playlist?

“More Than a Feeling” by Boston.


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Tampa, FL  33607
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