Lori Neidel is the founder of the Law Office of Lori J. Neidel, LLC, a law firm providing legal services to independent RIAs, and of Adviser Compliance Services, a compliance consulting firm providing outsourced compliance services to RIAs.
Previously, Neidel was the Chief Enforcement Counsel at the Missouri Securities Division whereby she led the Division’s staff of examiners and investigators bringing enforcement actions for violations of the Missouri Securities Act. She served for four years as Vice Chair of the Board of Trustees of the Missouri State Employee Retirement System, the state of Missouri’s $9 billion public pension retirement fund.
Neidel received her undergraduate and law degrees from Saint Louis University. In 2009, she earned the CRCP designation from the FINRA Wharton Institute for Certified Regulatory and Compliance Professionals.