About
Kimberley "Kimi" Dillingham is a seasoned compliance professional with a specialization in Securities Regulatory Compliance. With a career that began in 2013, Kimi has successfully led a wide array of projects, from internal gap audits and SEC examinations to ongoing regulatory filings and the meticulous development and refinement of compliance documents and procedures. Her expertise extends to licensing registration for firms, representatives, and agents, and since 2021, she has served as the Chief Compliance Officer for Investment Advisors.
Over the course of nearly 12 years, Kimi has managed annual continuing education programs for more than 2,500 students and played an instrumental role in the renewal and licensing of over 8,500 agents and firms. Her strategic approach, attention to detail, and results-driven mindset allow her work with firms to consistently produce measurable success. Kimi has built a strong reputation for delivering precise, effective solutions that drive long-term compliance and operational efficiency.
Trained by industry leaders, Kimi has gained invaluable experience working closely with broker-dealers, investment advisors, and financial institutions. She brings a focused understanding of the regulatory landscape and is dedicated to guiding firms—whether large or small—through the ever-evolving complexities of financial regulations.
Professional Experience
Before founding her consulting firm, Kimi served as an associate and compliance analyst at several respected financial compliance service providers in the industry. This experience endowed her with, hands-on knowledge of the nuanced intricacies of compliance. It was here that Kimi developed her passion for guiding investment advisor and broker-dealer compliance, securities licensing and insurance licensing for Firms and Representatives/Agents.
Licensing & Education
- Series 65 – Texas
- Paralegal Certificate – Sam Houston State University
-Agent- General Lines- Life, Accident, Health & HMO Insurance License- Texas 2013 - 2024
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