Vice President of Compliance
- Company:George K. Baum & Company
- Short Bio:Kathy Weatherholt has worked in the financial services industry for 15 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. Creating and delivering content related to sales practice rules such as AML, MA Training 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. 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 been a member of, involved with and/or speaker at numerous industry group and regulatory events. A few include BDA, NSCP, SILA and the MSRB. Kathy has assisted the MSRB in recent years as a “SME” in the development of their MuniEDPro courses and is currently serving on their Compliance Advisory Group.
- April 30, 2019, 15:45 Chicago – 2019 Spring Conference