karey williams

Karey Williams

CHIEF COMPLIANCE OFFICER

Karey has over thirty years in the Financial and Insurance industry with the bulk of her experience as a municipal bond broker for dealer and dealer banks. She began her supervision/compliance career as a producing National Branch Manager for Wolfe & Hurst Bond Brokers in 1994, then went on to become a Senior Compliance Officer for David A. Noyes & Co. 2015, Senior Compliance Officer for the Bank of Montreal Asset Management Corporation 2019, and Senior Consultant for Bristal Lane Group, 2021. She is a registered Securities Principal and holds the designations of Certified Securities Compliance Professional and Certified Anti-Money Laundering Specialist. Her education includes an Associate’s degree in business management from New York University, a Bachelor of Science in Applied Behavioral Science from National Louis University, and a year of improvisational training at Second City Improv Theater.

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