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.

Disclosures

The information provided is derived from sources deemed to be reliable. It is not intended as tax or legal advice, which we do not provide. Please consult legal or tax professionals for specific information regarding your individual situation.
The opinions expressed and material provided are for general information and should not be considered a solicitation for the purchase or sale of any security, which may only be sold by individual recommendation.
Securities and investment advisory services offered through Royal Alliance Associates, Inc. (RAA) member FINRA/SIPC.  RAA is separately owned and other entities and/or marketing names, products or services referenced here are independent of RAA.
We are registered to sell securities in the following states:*
Alabama, Arizona, California, Colorado, Connecticut, DC, Delaware, Florida, Georgia, Iowa, Idaho, Illinois, Indiana, Massachusetts, Maryland, Michigan, Minnesota, Missouri, North Carolina, New Jersey, New Mexico, Nevada, New York, Pennsylvania, Puerto Rico, South Carolina, South Dakota, Tennessee, Texas, Virginia, Washington.
We are licensed to sell Insurance products in the following states:*
Alabama, Colorado, Florida, Georgia, Idaho, Illinois, Kentucky, Massachusetts, Maine, Michigan, North Carolina, New Hampshire, New Jersey, New Mexico, Nevada, Ohio, Oklahoma, Pennsylvania, Puerto Rico, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Washington, Wisconsin.
* State securities registration and insurance licensing varies by affiliated advisor and representative.
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NextPhase™ is a retirement program offered exclusively through Advisor Group, which owns our broker-dealer, Royal Alliance Associates.
MyStages® is a consumer financial wellness program by Signature Financial Solutions, LLC.
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