Kim Hershberger

Senior Compliance Officer

About Kim

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Kim began her career in the financial industry in November 1982 at FSC Securities Corporation, now part of the Advisor Group of broker dealers. Kim started in the Commission and Accounting Department and briefly worked on the service group handling various task. After an internal restructure, she handled commission inquiries for a few years. Needing a change, Kim was given the opportunity to create a completely new Transition Department and after about six years, moved to another new department, Business Development. From there she worked for ten years in the Legal Department handling regulatory inquiries and required filings, researching, and pulling arbitration/litigation documentation for internal and external attorneys as well as other tasks. After another internal restructure, Kim moved to Compliance handling customer complaints, regulatory inquiries, and filings.

In 2017, Kim left Advisor Group and went to work at Kalos Financial, Compliance Department located in Alpharetta, Georgia. Her responsibilities included account form review/approval, regulatory inquiries and required filings, email review, annual update of the “Business Continuity” manual, assisted with the annual AML audit, all FINRA CRD related tasks and various other responsibilities.

Kim currently resides in Atlanta, Georgia and has the Series 7, 24, 63 and 65 securities licenses.