Kathy VanNoy-Pineda, also known to many as “KVP”, brings over 35 years of experience in the financial services profession. In this role, she is the head of the Traditional Channel (Cetera Advisors, First Allied Securities and Summit Financial Group) brokerage compliance function and serves as the Chief Compliance Officer for Cetera Advisors and also for First Allied Securities.
Education: Kathy earned a BA degree from Central College in Pella, Iowa, with an emphasis in communications and performing arts. She also graduated from St. John’s University School of Law in New York City and is admitted as an attorney to the New York State bar. Kathy also has a Series 7, 63, 24. She has also completed executive certificate programs at Harvard Business School and the Aspen Leadership Institute.
Industry Involvement: Kathy is a long-time member of the National Society of Compliance Professionals and has served as its Board Chair. She has also been active in the Compliance Forum, the FSI Compliance Committee, and the SIFMA Legal and Compliance Committee. She was elected twice as a member of a FINRA District Committee. Kathy has served on various FINRA and industry committees and is a frequent speaker at regulatory and compliance conferences.
Experience: Prior to joining Cetera Financial Group, Kathy founded and ran her own compliance consulting and expert witness practice in 2016. Prior to that, Kathy held various senior and executive level positions in the profession, including Compliance Counsel and Chief Compliance Officer at LPL Financial for eight years; Director, Early Dispute Resolution and then Compliance Education & Communications, Smith Barney and Citi Global Wealth Management for four years; and a variety of positions at TIAA over an 18 year tenure, including Chief Compliance Officer, Sales and Chief Compliance Officer, Products. Before focusing on compliance and risk aspects of the profession, Kathy was a registered representative and a product sales manager.