Kathy Weatherholt


VP-Compliance

George K. Baum & Company


Kathy Weatherholt has worked in the financial services industry for about 14 years, the last ten of which at George K. Baum & Company as Vice President of Compliance. As a team member in a small firm, Compliance does it all-from licensing and registration to interpreting and implementing industry rules and regulations. There’s nothing like the smell of a freshly printed SEC release in the morning and the slow horror of realization that one ream of paper won’t suffice for (wastefully) printing the *$#@ thing! Creating and delivering content related to sales practice rules such as AML and Firm Element Training satisfies her itch related to holding an undergraduate and Master’s Degree from the University of Kansas in Curriculum and Instruction. She has been fortunate to have been a regular presenter of information the past few decades in a very strange variety of venues—university groups, book clubs, volunteer organizations, churches, and most recently, financial services industry groups. The subject matter has been strangely diverse as one might imagine from that list: “Good vs. Evil as a Recurring Theme in High Fantasy Children’s Literature: A Comparative and Inter-Disciplinary Study of Sylvester’s Magic Pebble” and “The Chronicles of Narnia”?; the “Down and Dirty, Everyday Life of the Registered Man Investing in Hot Dogs: a Fascinating Study of the Disclosure of Outside Activities”; “Were Voracious Adult Readers Avid Readers as Children?”; “Nervous Little Dogs Preparing for Their Day: A Day in the Life of a Compliance Officer”; “How to Live an Abnormal Life When Mr. Wonderful is Diagnosed with Tourette’s Syndrome, and Other Bizarre Stories of My Very Irregular Life”; “Why Compliance Needs More Synthesizers”; and, “Municipal Advisors-The Rule from Hell.” Married 43 years to Mr. Wonderful, Kathy has two grown children who are happily married themselves, three incredible granddaughters and one adored miniature dachshund. She has discovered since working full time the past decade that there never seems to be enough time for her life’s passions of cooking, reading, and sewing, while the other hand (read left brain) is doing interps of FINRA’s latest guidance. As historically the youngest PTA President of a certain elementary school many years ago, she was once introduced to an audience of approximately 800 as “Kathy Weatherholt, The-29-out-of-30 introvert on the Myers-Briggs Personality Index from whom we will be prying the microphone from her cold, dead hands one day, go figure that dichotomy!” However, all things considered, it now makes sense that her favorite photo of herself is of her fourth birthday where she is ironing on the newly unwrapped, miniature ironing board dressed in a starched petticoat and shiny Mary Jane patent leather shoes, while sporting her shiny new six-shooters strapped in a fancy two-pistol holster.


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