Managing Director and Chief Compliance Officer
Civitas Capital Group
Laurie Roberts is Managing Director and Chief Compliance Officer for each of the Civitas Capital Group operating divisions. Ms. Roberts is a securities and compliance expert with 19 years of experience managing regulatory matters for broker-dealers and registered investment advisors.Ms. Roberts co-founded and served as Executive Vice President and Chief Compliance officer for Douglas Scott Securities, Inc. and Red River Securities, LLC, where she managed all compliance and regulatory affairs for the broker-dealers.
Ms. Roberts also served as President of USA Mutuals Trust and Mutuals Advisors, Inc., a mutual fund family and associated registered investment advisor. In that capacity, she directed all operations of the trust through US Bank Fund Services and the advisor, including oversight of the sub-advisor, sales and marketing, public relations, financial operations, portfolio management and compliance.
Ms. Roberts holds a Master of Science in Organizational Development from the University of Texas at Dallas and Bachelor of Science in Business Administration from Oklahoma State University. She also holds FINRA Series 7, 24, 27, 63, and 99 securities licenses.