Broker Check
Maria Plante

Maria Plante

Compliance Officer

Maria joined the Compliance Department of Brown Lisle Cummings in 2004 and has over 30 years of experience in the financial services industry. Currently in her role as a compliance officer, Maria, who works directly with the firm’s CCO, offers a strong working knowledge of both federal and state regulatory guidelines and standards, including the Investment Company Act of 1940 and ERISA.  Her responsibilities include the oversight of broker/dealer and investment advisory regulatory compliance programs, policy implementation and training, continuing education, regulatory audit issues, changes in regulatory compliance rules as well as new regulations, and operational procedures as they relate to back office securities operations and administrative functions. In her daily work, Maria places an emphasis on ethical and professional standards as well accepted business practices as she strives to ensure that our firm meets the highest level of securities industry compliance.

With a concentration in the area of Finance, Maria has a Bachelor of Science Degree from Northeastern University. Her industry-related licenses include: Securities Industry Registered Representative (Series 7); State Law Examination (Series 63); General Securities Principal (Series 24); Options Principal (Series 4); and Uniform Investment Advisor ((Series 65).

Maria resides in Smithfield, RI with her husband, Denis, her son, Denis, and their husky lab mix dog, Pikka. She enjoys sailing and loves anything dessert-related!