Kevin Wheeler

Director, Client Advisory and Execution Services

Kevin is an experienced legal and business executive with over 20 years of experience in providing business, compliance, and privacy consulting services. 

As a practicing attorney, Kevin advised clients in all aspects of corporate structure, M&A, privacy, and enforcement/litigation matters. In his capacity as General Counsel to financial service entities including broker-dealers, RIAs, and fintechs, Kevin became a leader in helping executives and their support teams meet the challenges of the complexities in new regulations coming out of the SEC, FINRA, CFPB and other federal and state agencies.   

Kevin serves as a leader and indispensable resource for fintechs, broker dealers, RIAs and start-up financial institutions. Specifically, his expertise covers corporate structure matters, regulatory exams, investigations and enforcement matters, data protection, AML/Fraud, registration matters. He also provides advice to businesses on privacy issues, employment /U4/U5 matters, and represents parties in complex litigation matters. 

Mr. Wheeler holds a Series 7 securities license.

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