As Chief Compliance Officer of Capital Wealth Advisors, Kimberly brings over fifteen years of regulatory compliance experience. Kimberly strives to ensure that management and employees are in compliance with the rules and regulations of regulatory agencies, and that company policies and procedures are being followed.
Prior to joining Capital Wealth Advisors, Kimberly was Chief Compliance Officer for Keel Point, a registered investment Advisory firm and broker-dealer with approximately $2.4 billion in assets under management. While running the compliance department she advised on complex regulatory matters including the interpretation and application of SEC, FINRA, MSRB, and state rules and regulations.
Kimberly has experience in the financial services industry including previous roles as Quality Assurance Manager at Regions Bank, Complex Risk Officer at Morgan Stanley, Compliance Officer at Sterne Agee, and Registered Client Service Associate at UBS.
- Mentor for Women’s Economic Development Council (WEDC)
- Volunteer for Kids To Love
- JD, Birmingham School of Law
- Wharton Executive Management Program, The Wharton School at the University of Pennsylvania
- BS in Finance, University of Alabama at Birmingham
Designations & Licenses
- Certified Regulatory and Compliance Professional (CRCP)®
- Series 66