Keith Marks

Keith is the Chief Compliance Officer of Kelleher Financial Advisors, a registered investment adviser specializing in family office services with offices on Wall Street in New York, NY and Portland, ME. KFA is affiliated with Wall Street Access, a broker dealer that provides execution services. Previously, Keith was the Executive Director of Compliance Services managing the Ascendant Compliance Management Division of Compliance Solutions Strategies’ (CSS) products and services. Keith managed a team that providing compliance services to over 250 RIAs, including annual compliance program reviews, risk assessments, on-site mock examinations, registration services, e-comms surveillance, and cybersecurity services to institutional wealth managers, private fund managers, retail wealth advisors, and registered investment companies. Keith is an author, product contributor, and thought leader. His product contributions have include the design of the Ascendant Form ADV Part 2 Template distributed to over 6,000 advisers in 2010-12. With his colleagues, Keith’s most recent significant publication is “Big Data, Using Data Analytics”, Modern Compliance vol. 2, ch. 23 (2017). Keith has also penned several articles for Schwab Compliance Review. He has been a speaker for Ascendant, NSCP, IAA, Charles River Development, and Charles Schwab & Co., Inc., among others. Keith joined Ascendant Compliance Management in 2007, and became a part of CSS in 2016. Prior to Ascendant, Keith was an instructor for the Center for Compliance Professionals and Director of Investment Adviser Services at National Regulatory Services (NRS). Keith practiced law as an Associate with Day, Berry & Howard LLP (now Day Pitney LLP), a Hartford, Connecticut law firm from 1996-98. Keith served as a law clerk for two years in Connecticut's Supreme Court and Appellate Court after earning his Juris Doctor degree Magna Cum Laude from Western New England University School of Law and his Bachelor of Arts Magna Cum Laude from the University of Connecticut. He is a member of the State Bar of Connecticut. Keith served as President of the New England Broker Dealer Investment Adviser Association (NEBDIAA), a non-profit organization, incorporated in 1997, from 2012-17. He also served on the Board of Directors of SOAR Educational Enrichment, Inc. from 2013-22, including as Board Chair for seven years. SOAR is a privately funded 501(c)(3) providing educational enrichment programs to students of the local primary education school in the community where Keith lives.

8e. IA/PF - Evolving Custody Responsibilities (Intermediate)