Kim founded Compliance Resource Partners to provide extensive support, knowledge and training to advisory firms and broker/dealers. Kim serves as the president and has been providing compliance support to broker-dealer and investment adviser firms nationwide since 1988 and has been in financial regulatory compliance since 1983.
Kim is a compliance problem solver for the countless situations presented to firms in today’s complex and ever-changing regulatory environment. She provides invaluable advice, guidance and solutions on everything compliance including firm and individual registrations, SEC and State registered examinations, firm policies and procedures, federal and state regulatory rule interpretations, best practices and interface with regulators.
She brings nearly four decades of compliance and regulatory expertise including direct experience as a CCO of an investment adviser and FINOP for several registered broker-dealers. Previous to founding her consulting business, she was a FINRA (formerly NASD) regulator in Denver where she conducted routine examinations covering all areas of a member’s production and business, from initial interviews with CEO’s and owners, reviews of ongoing compliance requirements, financial stability and net capital computations.
Kim received her Bachelor’s of Science with a concentration in Finance and Accounting and a minor in Economics from Southern Methodist University in Dallas Texas. She is committed to helping other women in the community and her philanthropic involvement includes Valor Discovery Advisory Council and Hope Haven Rwanda.
Kim and her husband Fraser have two grown daughters and are long-time residents of Colorado. When Kim is not in the office, she and Fraser take every opportunity to enjoy adventure traveling. Kim also likes to spend her time camping, biking, skiing, gardening and although a retired soccer mom, watching soccer. She is also an avid wine enthusiast.
Get in Touch
303-797-0550 Ext. 1