Kimberly Johnson Email & Phone Number
Chief Compliance Officer (Outsourced) @ Ashton Thomas Securities
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Kimberly Johnson Location
- New York, NY, US
Kimberly Johnson Work
- Chief Compliance Officer (Outsourced) @ (January 2025 - Present)
- Senior Vice President of Compliance @ (September 2023 - Present)
- Chief Compliance Officer and AML Compliance Officer (Outsourced) @ (September 2023 - August 2024)
- Director of Compliance and Deputy CCO - Broker-Dealer @ (December 2021 - January 2023)
- Senior Director, Compliance @ (February 2020 - January 2022)
- Vice President of Compliance @ (February 2017 - February 2020)
- Corporate Ethics and Compliance @ (August 2015 - February 2017)
- Director Of Compliance @ (July 2014 - July 2015)
- Senior Compliance Manager @ (June 2007 - July 2014)
- Director of Marketing @ SemCom Corporation (October 2005 - June 2007)
- Senior Marketing Manager @ (May 2002 - October 2005)
Kimberly Johnson Education
- University of Connecticut
Bachelor's degree
Kimberly Johnson Skills
- Presentation Skills
- Communication
- Books and records
- Written Supervisory Procedures
- Data Analysis
- Analytical Skills
- Advertising
- Business Analysis
- Series 7
- Series 24
- Compliance
- Risk Management
- Quality Assurance
- Social Media
- Social Media Compliance
- Vendor Management
- PowerPoint
- KYC
- Series 63
- Microsoft Office
- FINRA
- Options
- Equities
- Securities
- Public Speaking
- Financial Services
- AML
- Uniform Combined State Law
- Fixed Income
- Series 4
- Trading
- Management
- Investments
- Asset Management
- Financial Risk
- Leadership
Kimberly Johnson Summary
- Kimberly Johnson, based in New York, NY, US, is currently a Chief Compliance Officer (Outsourced) at Ashton Thomas Securities. Kimberly Johnson brings experience from previous roles at FiSolve, CAPIS, eToro and Ally. Kimberly Johnson holds a Bachelor's degree @ University of Connecticut. With a robust skill set that includes Presentation Skills, Communication, Books and records, Written Supervisory Procedures, Data Analysis and more. Kimberly Johnson has 2 emails and 2 mobile phone numbers on RocketReach.
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