Kimberly Miller

Kimberly Miller has over 23 years’ experience as a compliance professional, on both the brokerage and advisory side of the business and serves as Compliance Director, Risk and Regulatory.  In her role, Kimberly manages regulatory examinations, all registration and licensing functions, firm advertising reviews, code of ethics compliance as well as other risk and regulatory compliance duties.    Prior to joining the firm, Kim most recently served as a Compliance Director for brokerage practices with Blue River Partners, LLC and has held a number of compliance management and director roles with Kestra Financial, Capital One, Hilltop Securities and Penson Financial.  Kim also serves as the Chief Compliance Officer of affiliated broker dealer, CRI Capital Advisors, LLC.