Lisa G. Kahn-Smith

Doing it right every day, even if it hurts, is Sendero’s philosophy.  Lisa has almost four decades of experience working alongside Fred Middleton in her role as Chief Compliance Officer and Principal of the firm, her goal is to continue to educate and instill Sendero’s culture in every employee.  Lisa has built lifelong relationships along the way.  She is known to say “They aren’t just clients, they are part of our family”.  Lisa has devoted her entire career helping Fred realize his vision of Sendero Wealth Management which has been a great adventure. She love’s seeing the company continue to grow with such talented people.

Work Background:

  • (2017-Present) Chief Compliance Officer, Sendero Wealth Management
  • (2008-2017) Chief Compliance Officer & Operations Manager, Sendero Wealth Management
  • (1998-2008) Assistant Compliance Officer, San Antonio Manager of Operations, Redstone Consulting
  • Registered Sales Assistant – UBS/Redstone
  • Wire Operator, Administrative Assistant Rotan Mosle/UBS

Education and Volunteer

  • Series 7, 24, 63, 65 and 99 licenses
  • Member of San Antonio Compliance Round Table
  • Ronald McDonald House
  • Former troop leader of the Boy Scouts of America
  • Former Brownie and Girl Scout leader of the Girl Scouts of the USA
  • Life Time Member San Antonio Stock Show and Rodeo Ambassador Committee

Download vCard

FINRA BrokerCheck