Kelly Barker, CSCP
Founder, President
Certified Securities Compliance Professional
Compliance 911 Solutions, Inc.
kelly@compliance911solutions.com
Founder, President
Certified Securities Compliance Professional
Compliance 911 Solutions, Inc.
kelly@compliance911solutions.com
Kelly Barker is the Founder and President of Compliance 911 Solutions Inc., a securities compliance consulting firm for Broker-Dealers and investment advisers of all sizes. Ms. Barker created C911 after over 23 years of in-house brokerage and independent firm experience. Ms. Barker recognized the growing demand for outsourced industry services, and the increasing opportunity to create a company that would focus on the compliance, registration, training and operational needs of (primarily) small to medium independent firms. Through Ms. Barker’s leadership, C911 focuses on establishing trust and confidence in our services as well as maintaining long-lasting personal relationships with our client firms.
Prior to forming C911, Kelly was the Assistant Director of Compliance for the collective AIG Advisor Group’s independent firms, Sentra Securities, Inc., Spelman & Co., and SunAmerica Securities, who had acquired United Pacific Securities in 1998 where she had previously spent 6 years as their Vice President of Compliance and Registration. Earlier in her career, Kelly spent 6 years at Dean Witter Reynolds in many practice areas, including sales support, trading, operations and later, sales. She began her career in the industry in 1981 at a little 200 rep firm in San Diego called Private Ledger Financial Services (now LPL).
Ms. Barker has provided securities and advisory firms and their professionals practical, and efficient customized compliance solutions and training since 2003. With her extensive and diverse expertise, Ms. Barker possesses a unique, proactive, ”hands on” approach to helping client firms apply rules and regulations to their unique practices, and to help them comply with current and new regulatory demands, specializing in the independent firm model.
Practice Experience
• Broker-Dealer, Insurance Agency and RIA Formations, Support, Sales, Mergers and Acquisitions
• Broker-Dealer Continuing Membership Applications (CMA) / Rule 1017 Filings
• Processing and Training on FINRA’s WebCRD and WebIARD systems
• BD, RIA, Insurance and Representative jurisdiction registrations and examination filings
• BD and RIA Compliance Reviews, Testing, Examinations and Evaluations
• BD and RIA Communications, Advertising and Marketing Review and Regulatory Filing
• Creating and Testing Firm's AML Program Compliance, Examinations, Policies and Procedures
• Business Continuity and Disaster Recovery Plan (BCP) Compliance, Examinations and Testing
• Industry Continuing Education Program Consulting and Planning
• Annual Compliance Reviews, Training and Meetings
• OFAC and FinCEN Compliance Consulting Services
• Supervisory Controls Compliance Procedures, Documentation and Testing
Professional Affiliations
• Member of the National Society of Compliance Professionals (NSCP)
• Member of the Southern California Compliance Group (SCCG)
• Member and Chairperson certified, FINRA Board of Arbitrators (since 1994)
Compliance Education and Training
• Achieved Series 7 and 24 securities registrations
• Earned the designation and certification of NSCP's Certified Securities Compliance Professional (CSCP), a graduate-level Program through the University of St. Thomas, School of Law
Prior to forming C911, Kelly was the Assistant Director of Compliance for the collective AIG Advisor Group’s independent firms, Sentra Securities, Inc., Spelman & Co., and SunAmerica Securities, who had acquired United Pacific Securities in 1998 where she had previously spent 6 years as their Vice President of Compliance and Registration. Earlier in her career, Kelly spent 6 years at Dean Witter Reynolds in many practice areas, including sales support, trading, operations and later, sales. She began her career in the industry in 1981 at a little 200 rep firm in San Diego called Private Ledger Financial Services (now LPL).
Ms. Barker has provided securities and advisory firms and their professionals practical, and efficient customized compliance solutions and training since 2003. With her extensive and diverse expertise, Ms. Barker possesses a unique, proactive, ”hands on” approach to helping client firms apply rules and regulations to their unique practices, and to help them comply with current and new regulatory demands, specializing in the independent firm model.
Practice Experience
• Broker-Dealer, Insurance Agency and RIA Formations, Support, Sales, Mergers and Acquisitions
• Broker-Dealer Continuing Membership Applications (CMA) / Rule 1017 Filings
• Processing and Training on FINRA’s WebCRD and WebIARD systems
• BD, RIA, Insurance and Representative jurisdiction registrations and examination filings
• BD and RIA Compliance Reviews, Testing, Examinations and Evaluations
• BD and RIA Communications, Advertising and Marketing Review and Regulatory Filing
• Creating and Testing Firm's AML Program Compliance, Examinations, Policies and Procedures
• Business Continuity and Disaster Recovery Plan (BCP) Compliance, Examinations and Testing
• Industry Continuing Education Program Consulting and Planning
• Annual Compliance Reviews, Training and Meetings
• OFAC and FinCEN Compliance Consulting Services
• Supervisory Controls Compliance Procedures, Documentation and Testing
Professional Affiliations
• Member of the National Society of Compliance Professionals (NSCP)
• Member of the Southern California Compliance Group (SCCG)
• Member and Chairperson certified, FINRA Board of Arbitrators (since 1994)
Compliance Education and Training
• Achieved Series 7 and 24 securities registrations
• Earned the designation and certification of NSCP's Certified Securities Compliance Professional (CSCP), a graduate-level Program through the University of St. Thomas, School of Law