Kim Chapman
Kim Chapman is the Chief Compliance Officer for three affiliated firms (a dual registrant, a broker dealer and an investment advisor firm in the independent model space) owned by Berthel Fisher & Companies. She has over twenty years of compliance experience and an additional twenty years of industry experience. Prior to her currently role, Kim was CCO of SS&C Market Services, a B2B Fintech company, a compliance consultant, an Assistant Director at Woodbury Financial (now part of Osaic) responsible for OSJ and branch exams as well as registered representative supervision and recruit oversite and a manager at Ameriprise Financial responsible for complaints, investigations and regulatory response. Kim is currently a mid-size firm member of the FINRA mid-west regional committee and on the FINRA NAC.
10a. ALL – Examining Ethics: Enforcement Actions and Lessons Learned (Advanced - OPEN)