Joanne M. Laut
Compliance Director - New England Region
Joanne joined Winchester Financial Group in 2007, as the Director of Compliance. Her role has expanded to include Advisors Alliance Group, a region within Cetera Advisor Networks, overseen by Paul Petrie. Her responsibilities include compliance oversight, conducting office audits and daily trade reviews. Joanne has 30 plus years of experience in all facets of broker-dealer compliance both in the wire house and independent broker-dealer. Joanne currently holds a Series 4, 9, 10, 53, 7, and 63 registrations.