Kelley J. Peterson is Compliance Counsel in Broker-Dealer and Investment Adviser regulations for the firm. She has significant experience performing regulatory work for investment advisers and broker-dealers. She provides comprehensive representation of firms in all aspects federal, state, and SRO adviser and broker-dealer registration and regulatory compliance. She prepares FINRA membership applications and continuance applications for a wide spectrum of brokerage entities.
She routinely forms new advisers and broker-dealers and structures, develops, and assists in the implementation of compliance and internal
supervisory support systems as well as prepares written supervisory procedures, customer agreements, sales representative agreements, AML programs, insider trading policies, and Firm Element training programs. She also advises clients with respect to bank networking arrangements, net capital issues, promotional materials, clearing agreements, expense sharing, directed brokerage, books and records requirements, sales practice issues, customer complaints, disciplinary matters, registration exemptions, waiver requests, and mergers and acquisitions. In addition, Ms. Peterson performs internal audits of broker-dealers and investment advisers.
Ms. Peterson has advised a broad range of securities firms, including bank affiliates, insurance brokerdealers, advisors, and dealer managers. She was the Vice President and Chief Compliance Officer of a nationwide securities broker-dealer. She concurrently served as the President of an insurance general agent, as the Compliance Officer of two federally-registered investment advisory firms and as the Vice President of an administrative agent specializing in custodial plans. She performed state and federal registrations, developed supervisory systems, guided arbitration and litigation, conducted internal audits, handled SEC and FINRA regulatory audits, and managed all areas of regulatory compliance. She also worked for Holland & Knight, LLP as Senior Counsel.
Ms. Peterson has successfully completed the Series 7, 24, 63, 65, and 53 securities examinations and is licensed to practice law in the States of Florida and Tennessee. She received her B.A. in Business Economics with a Minor in Finance from the University of California at Santa Barbara, and earned her law degree, summa cum laude, having graduated first in her class from Nova Southeastern University.
Kelley J. Peterson
Compliance Counsel in Broker-Dealer and Investment Adviser regulations