Fundraising Fox

Bob Lavigne

Investor

Chief Compliance Officer at Hightower Advisors

Chicago, Illinois, United States

About

Bob Lavigne serves as Chief Compliance Officer at Hightower Advisors with nearly 30 years of experience in compliance, regulation, and advisory services across investment advisors, broker-dealers, insurance companies, and private fund organizations. His background includes leadership roles at Bates Compliance and PwC, where he directed regulatory and compliance practice groups, as well as prior service as Chief Compliance Officer at a registered investment adviser and broker-dealer and as a senior examiner at FINRA's Boston district office. He holds a Bachelor's degree in Criminal Justice from Westfield State University and an MBA from Anna Maria College.

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Experience

  1. Hightower AdvisorsChief Compliance Officercurrent2026 — presentChicago, Illinois, United States
  2. Edelman Financial EnginesVice President & Chief Compliance Officer2023 — 2026Boston, Massachusetts, United States
  3. VALIC Financial Advisors, Inc.Broker-Dealer Chief Compliance Officer2022 — 2023Massachusetts, United States
  4. Kaufman RossinDirector, Risk Advisory Services - Broker-Dealer & Investment Advisers2021Massachusetts, United States
  5. Bates GroupManaging Director, Compliance Practice Leader2018 — 2021Greater Boston Area
  6. PricewaterhouseCoopersDirector2011 — 2017
  7. GW & Wade, LLC & GW & Wade Asset Management Co., LLCChief Compliance Officer2005 — 2011
  8. FINRASenior Examiner2003 — 2006
  9. Allmerica Investments/VeraVest InvestmentsAsst. Vice President/Team Manager/Sr. Analyst2000 — 2003
  10. PFPC Global Funds ServicesSr. Investment Specialist1998 — 2000

Education

  1. Anna Maria CollegeMBA, Finance
  2. Westfield State UniversityB.S., Criminal Justice1993 — 1995
  3. St. Mary's HS

Skills & more

AML7Anti Money Laundering4Asset Management7FINRA8Finance6Financial Risk7Financial Services16Investments14Risk Management16Mutual Funds8SEC1Securities5
+6 moreSeries 7TrainingWealth ManagementDue DiligenceManagementFinancial Analysis
  • Certified ERG Leader — ERG Leadership Alliance (ELA)

From Bob's professional profile.

Same school

Also attended Westfield State University2

Joe ChernovInvestor at Battery VenturesJoseph CauvinVice President, Operations at NJII Venture Studio

Shared employers

Also worked at Kaufman Rossin3

Jason MorrisVice President, Investor Relations at Sapphire VenturesBenjamin SteinVenture Partner at Chaos VenturesThomas ReidSenior Associate at Conversion Capital

Also worked at Bates Group1

Reid StenderPartner, Stateless Ventures at HyperNest

Also worked at PricewaterhouseCoopers906

David PhuController at Felicis VenturesTianen LiangTax Controller at Felicis VenturesJanet WolpertInvestor at Index VenturesAryo TehranianManaging Director at Mayfair Equity PartnersAne Tolnes HaugdalInvestor at InvestinorEgilInvestor at Investinor

+ 900 more

Also worked at FINRA9

Floyd H. GriffithManaging Partner at Little Bristol PartnersMark CasadyGeneral Partner and Co-Founder at Vestigo VenturesJohn ParmigianiCEO & Fund Manager at Disruptive VenturesMitch BrooksFounding Managing Partner at High Street Equity PartnersBrendon CaioneDeputy General Counsel at B Capital GroupEric NollBoard Member at AlphaPoint

+ 3 more

Colleagues at Hightower Advisors

Barrett Lopez
General Counsel at Hightower Advisors
Dan Berg
Chief Financial Officer at Hightower Advisors
Doug Besso
Chief Technology Officer at Hightower Advisors
Jared Schwartz
Chief Risk Officer at Hightower Advisors
Jenn Anderson
Chief Marketing Officer at Hightower Advisors
Jennifer Krevitt
Chief Human Resources Officer at Hightower Advisors
Larry Restieri
Chief Executive Officer at Hightower Advisors
Matthias Kuhlmey
Chief Development Officer at Hightower Advisors