Lee Lacy

Compliance Officer chez TD Capital Management LLC

Profil

Mr. Christopher L.
Lacy is a Member & Director of Operations at TD Capital Management LLC.
He is also a Chief Compliance Officer & Wealth Advisor at the firm.
He joined TD Capital in 2008 as a Portfolio Analyst and has been engaged in various aspects of portfolio implementation for selected clients.
He continues his portfolio services role today as Portfolio Manager.
In this capacity, his responsibilities include reviewing clients’ goals and objectives, and implementing investment strategies.
He has played an integral role in the design and implementation of internal work flow processes and related software/technology application to enhance and increase scalability.
In 2016, he was appointed Director of Operations and is responsible for all aspects of the firm's system platforms.
In 2018, he became Chair of our Compliance Committee and is responsible for various filing with the Securities and Exchange Commission and other regulatory agencies.
He became an Equity Member of the firm effective January 1, 2022.
Prior to joining TD Capital, he spent several years working in the Broker-Dealer industry, specifically providing service and support to participants in Employee Stock Option Programs, Employee Stock Purchase Programs, and other Employee Stock Programs.
He received his Bachelor of Business Administration in Finance from The University of Tennessee at Knoxville.

Postes actifs de Lee Lacy

Sociétés	Poste	Début
TD Capital Management LLC	Compliance Officer	01/03/2008

Formation de Lee Lacy

University of Tennessee

Undergraduate Degree