Kent Keister, IACCP®

Kent Keister, IACCP®

Senior Compliance Consultant

KKeister@batesgroup.com

Kent Keister is a Senior Compliance Consultant for Bates Compliance. Based in Columbus, Ohio, Mr. Keister leverages more than 17 years of experience working in the financial services compliance field assisting investment advisers, broker-dealers and wealth management organizations in navigating complex issues. Mr. Keister specializes in Registered Investment Adviser (RIA) compliance program development and regulatory exam coordination, as well as FINRA branch examinations protocol and supervisory activities, including: compliance policies and procedures, conflicts mitigation, advertising review, information security policies, and business continuity plans.  

Prior to joining Bates, Mr. Keister served as Director of Compliance for a fee-only, SEC-Registered Investment Adviser, where he was responsible for creating, implementing, and executing the firmwide compliance program. His additional prior compliance experience includes roles in compliance management, oversight, supervision, and branch examinations. Throughout his career, Mr. Keister has worked with independent RIAs, hybrid RIAs, independent broker-dealers, bank-affiliated broker-dealers, insurance company affiliated broker-dealers, and dual registrants.

Mr. Keister received his B.S. in Business Administration from Baker College in Flint, Michigan. He currently holds the FINRA Series 66 license, and previously held the FINRA 6, 7, 24 & 51 licenses. Mr. Keister holds the Investment Adviser Certified Compliance Professional (IACCP®) designation and is a member of the National Society of Compliance Professionals (NSCP) and the Central Ohio Compliance Association (COCA).


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Kent Keister, IACCP®

A Consultant and subject matter expert in these services:

Credentials

EXPERIENCE

Budros, Ruhlin & Roe, Inc., Columbus, Ohio, May 2018 – September 2020

  • Director of Compliance, January 2020 – September 2020
  • Compliance Officer, 2018 - 2019

LPL Financial, Columbus, Ohio

  • Principal Examiner - Branch Exams, 2013 – 2018
  • Senior Examiner - Branch Exams, 2010 – 2013

Prudential Financial, Columbus, Ohio, Operations & Controls Manager, 2009 – 2010  

LPL Financial, Columbus, Ohio

  • Lead Examiner - Branch Exams, 2008 – 2009
  • Examiner - Branch Exams, 2006-2008

Chase Investment Services, Columbus, Ohio Account Maintenance Principal, 2004 – 2006

Bank One, Columbus, Ohio, Licensed Banker, 2003 – 2004

EDUCATION

Bachelor of Science (B.S.), Business Administration, Summa cum laude, Baker College, Flint, MI

CERTIFICATIONS

Investment Adviser Certified Compliance Professional (IACCP®), Investment Adviser Association, 2019

FINRA Licenses: Series 66; Previously held: Series 6, 7, 24, & 51