Kent Keister, IACCP®

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).