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Chief Compliance Officer
Liz Legacy serves as Realta Wealth’s Chief Compliance Officer and is responsible for overseeing all aspects of regulatory compliance for Realta’s FINRA-registered broker-dealer and SEC-registered RIA.
Before joining Realta, Legacy served as Executive Director and CCO for CUSO Financial Services and Sorrento Pacific Financial. In those roles, she ensured compliance with FINRA and SEC regulations and assisted in fulfilling regulatory obligations concerning the broker-dealer and corporate RIA. Prior to that, she was Vice President and CCO at M Holdings Securities, Inc. (M Securities) and M Financial Securities Marketing (MFSM). Her financial services experience also include roles at Commonwealth Financial Network, LPL Financial and Ameriprise.
Legacy earned her Master of Business Administration with a finance emphasis from the University of Redlands in California. She holds a Certified Regulatory and Compliance Professional (CRCP) designation and Series 7, 24, 53 and 66 FINRA registrations.
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