Kc Waldron Email & Phone Number
Chief Compliance Officer @ Empower group
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Kc Waldron Location
- Austin, TX, US
Kc Waldron Work
- Chief Compliance Officer @ (May 2024 - Present)
- Managing Director, Head of Wealth and Advice Solutions Compliance, CCO Schwab Wealth Advisory, Inc. @ (January 2023 - April 2024)
- Managing Director, Global Head of Regulatory Strategy, Examinations, and Inquiries @ (January 2019 - January 2023)
- Managing Director - Distribution Compliance @ (January 2016 - January 2019)
- Director - Legal @ (January 2012 - January 2016)
- Enforcement Attorney @ (January 2010 - January 2011)
- Senior Associate in the Securities Litigation and Enforcement Department @ (January 2006 - January 2010)
Kc Waldron Education
- The University of Texas at Austin
J.D. (Law)
1997-2000 - Mays Business School - Texas A&M University
B.B.A. (Accounting)
1993-1997
Kc Waldron Skills
- Broker-Dealer
- Corporate Governance
- Corporate Law
- Due Diligence
- Expertise in Securities Law, Compliance, and Corporate Investigations
- FCPA
- FINRA
- Financial Services
- Hedge Funds
- Investment Advisers Act
- Investments
- Legal Research
- Licensing
- Litigation
- Member of Texas, New York, and California State Bars
- Mutual Funds
- Options
- Portfolio Management
- SEC
- Securities
- Securities Litigation
- Securities Regulation
- Trials
- Valuation
Kc Waldron Summary
- Kc Waldron, based in Austin, TX, US, is currently a Chief Compliance Officer at Empower. Kc Waldron brings experience from previous roles at Charles Schwab. Kc Waldron holds a 1997 - 2000 J.D. in Law @ The University of Texas at Austin. With a robust skill set that includes Broker-Dealer, Corporate Governance, Corporate Law, Due Diligence, Expertise in Securities Law, Compliance, and Corporate Investigations and more. Kc Waldron has 3 emails and 3 mobile phone numbers on RocketReach.
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Kc Waldron
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