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Lisa Bertain

Principal, Interim General Counsel

    At a Glance

    • Joined Edward Jones in 2020
    • Interim General Counsel
    • Named an Edward Jones principal in 2020

    Lisa serves as Edward Jones' interim general counsel responsible for leading Legal, Compliance and Government Relations. As a firm leader, Lisa serves as legal counsel to the Enterprise Leadership Team including the managing partner.

    Lisa joined Edward Jones as principal and deputy general counsel in January 2020 leading Litigation, Discovery Center, Legal Service, Complaint Investigations, and Canadian Legal and providing legal support to Edward Jones' U.S. Business Unit and Firm Strategy.

    Prior to joining Edward Jones, Lisa was a partner at Keesal, Young and Logan for over 25 years. In this role, Lisa counseled and advocated in courts and before self-regulatory organizations on behalf of major financial services firms on a wide variety of high stakes issues including compliance with regulatory obligations and securities laws, employment, Dodd Frank Act, Sarbanes Oxley Act, FRCA and Private Attorney General Act. Lisa also participated in the management of the law firm including through its executive committee and was a founding member of the firm's DEI committee.

    Over the past 15 years, Lisa has been a frequent speaker at the SIFMA Annual Legal & Compliance Conference on topics such as Sarbanes Oxley, Dodd Frank, Diversity, Equity and Inclusion, Employment and a wide variety of legal issues affecting the financial services industry. Lisa also represents the firm on SIFMA's Private Client and Arbitration Committees.

    Lisa began her legal career as Deputy District Attorney in Alameda County, California.

    A native of California, Lisa earned a bachelor's degree from the University of California at Berkeley and her juris doctorate with honors from the University of San Francisco.

    Lisa enjoys spending time with her husband and their three children, as well as her large extended family. Lisa completed a 10-year term on the Salvation Army San Francisco Metro Advisory Board in 2019 and currently serves as a member of the board of directors for the Boys & Girls Club of Greater St. Louis.

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