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Address:
6977 Navajo Road, Suite 134
San Diego, CA 92119 |
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Phone:
(619) 466-0015 |
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Fax:
(619) 393-0174 |
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| Our Team |
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 Kelly Barker
Senior Consultant and Managing Director
Compliance 911 Solutions, Inc.
kelly@compliance911solutions.com
Kelly Barker is the Founder and Managing Director of Compliance 911 Solutions Inc., a securities compliance consulting firm for Broker-Dealers of all sizes. After over 23 years of in-house brokerage and independent Broker-Dealer firm experience, Kelly recognized the growing demand for outsourced industry services, and the increasing opportunity to create a company that would focus on the compliance, registration and operational needs of (primarily) small to medium independent broker-dealers. Through Ms. Barker’s leadership, C911 focuses on establishing trust and confidence in our services as well as maintaining superior personal relationships with our client firms.
Prior to creating C911, Kelly was the Assistant Director of Compliance for the collective AIG Advisor Group’s independent broker-dealers, Sentra Securities, Inc., Spelman & Co., and SunAmerica Securities, who 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 sales. She began her career in the industry in 1980 at a little firm in San Diego called Private Ledger Financial Services.
Ms. Barker has successfully provided securities and advisory firms and their professionals practical, cost saving and time efficient compliance solutions and training since 2003. She specializes in a complete variety of services for firms of all types and sizes. With her extensive and diverse expertise, Ms. Barker possesses a unique, proactive, ”hands on” approach to complying with current regulatory demands and specializes in the independent broker-dealer model’s compliance best-practice management, training and system evaluations.
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 jurisdictions and examination filings
• BD and RIA Mock Regulatory Examinations and Evaluations
• BD and RIA Advertising and Marketing Material Review and Regulatory Filing
• AML Program Compliance, Examinations, and Customer Identification Program Procedures and Evaluations
• Business Continuity Plan (BCP) Compliance, Examinations and Consulting
• Industry Continuing Education Program Consulting and Planning
• Annual Compliance Certifications, Training and Meetings
• OFAC and FinCEN Compliance Consulting Services
• Supervisory and 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)
• Notary Public - California
Compliance Education and Training
• Series 7, 24 and 63 securities registrations
• Member, FINRA Board of Arbitrators
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Brenda Espinoza
Operations and Finance Manager
bespinoza@compliance911solutions.com
Ms. Espinoza provides primary support for Ms. Barker and C911 customers as well as administrative support to C911 staff to develop and maintain office procedures ensuring functional operations. Ms. Espinoza is also responsible for the management and operation of financial related activities.
Education
B.S. Business Administration - Finance, San Diego State University
Notary Public, California |
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