Carol has been a part of the Allen & Company team for 20 years.
A former Trader for a nationally recognized broker dealer, Carol serves as LPL Regional Supervisory Principal and Chief Compliance Officer for Allen & Company. She is responsible for day-to-day senior leadership of our compliance efforts for the retail brokerage and investment advisory.
With more than 30 years of industry experience, Carol serves on the Executive Committee at Allen & Company, the Advisory Board of the Florida Security Dealer’s Association and the National Society of Compliance Professionals.
Carol Zitzelberger holds the Series 7, 24, 4, 53, 57 and 99 registrations with LPL Financial, and the Series 66 registration with both LPL Financial and Allen & Company.