Before joining My RIA Lawyer, Kristin was Chief Compliance Officer and Director of Trading for an SEC-registered firm based in Michigan.
Kristin began her journey in financial services and compliance over 20 years ago working as a high school co-op student for a local broker-dealer. There, she fell in love with the financial industry, obtaining her insurance licenses at the minimum age of 18 and her series 65 and 7 shortly after. After working in operations, marketing, and portfolio management at RIA firms, Kristin found her true niche to be in RIA compliance. As Compliance Manager, she loves helping clients set their firms up for success by aligning their business practices with ever-changing rules and regulations.
Kristin holds the FINRA Series 66 license, as well as the IACCP® (Investment Advisor Certified Compliance Professional), CRPC® (Chartered Retirement Planning Counselor), and AAMS® (Accredited Asset Management Specialist) designations. She currently attends Oakland University’s CFP® (Certified Financial Planner) certificate program and is working on her AIF® (Accredited Investment Fiduciary) designation.
Outside of work, Kristin is loves to spend time with her two children. She is a lover of yoga, hiking, gardening, and all things nature. She participates in many local community efforts toward empowering women, serving roles for organizations including the Flint Women’s Forum and YWCA.