Miriam Lefkowitz

Chief Regulatory Officer

  • Company:Luckystrike Securities
  • Short Bio:Miriam Lefkowitz is the Chief Regulatory Officer of Luckystrike Securities, a limited purpose broker dealer associated with Summit Equities. She served as the Chief Legal Officer of Summit Equities, Inc./Summit Financial Resources, Inc. from 2014-2018 and as its Chief Compliance Officer from 2014-2015. The NJ-based regional BD/IA specializes in financial planning and model portfolio asset management. Previously, Miriam served as General Counsel of Shufro, Rose & Co., a NY-based BD/IA that provides discretionary fee- and commission-based asset management in individually managed accounts to retail clients. Prior to joining Shufro, Miriam served as General Counsel/Chief Compliance Officer, and Member of the Board of Directors of J.B. Hanauer & Co., a full service, retail BD/IA which specialized in municipal bonds. Before going in-house, Miriam served as Senior Counsel in the Enforcement Division of the Securities & Exchange Commission and practiced law at a firm in Miami. Miriam graduated from Columbia Law School and Columbia College. Miriam also serves as an expert witness in regulatory and civil matters and is a regular speaker and author on securities and compliance topics. She is on the Board of Directors of the NSCP and recently served as the Chair of the Financial Services Committee of the Association of Corporate Counsel (ACC).
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