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Kelly Smith Email & Phone Number
Compliance Consultant
at
COMPLY
1 work email found
@cedarbrookfinancial.com
LinkedIn matched
✓ Verified Jun 2026
4 data sources
Profile completeness 100%
Who is Kelly Smith? Overview
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Quick answer
Kelly Smith is listed as Compliance Consultant at COMPLY, based in Chagrin Falls, Ohio, United States. AeroLeads shows a work email signal at cedarbrookfinancial.com and a matched LinkedIn profile for Kelly Smith.
Kelly Smith previously worked as Chief Compliance Officer at Cedar Brook Group and Director Of Compliance at Cedar Brook Group. Kelly Smith studied at College For Financial Planning.
Company email context
Email format at COMPLY
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{first_initial}{last}@cedarbrookfinancial.com
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AeroLeads found 1 current-domain work email signal for Kelly Smith. Compare company email patterns before reaching out.
Profile bio
About Kelly Smith
Broadly skilled compliance professional with a combined 25+ years of experience in designing financial plans in conjunction with advisors, and most recently the interpretation of Securities and Exchange Commission and state securities rules and regulations to maintain the integrity of our compliance program.Trusted thought leader repeatedly tapped to rotate into new roles, collaborate with internal colleagues to streamline business processes and rapidly implement value-add improvements and enhancements to financial planning and compliance programs.Stable leader committed to treating people with integrity and respect, cultivating an equitable work environment, and fostering an atmosphere of supported mentorship.
Listed skills include Retirement Planning, Financial Planning, Investments, Tax, and 8 others.
Current workplace
Kelly Smith's current company
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9 roles
Kelly Smith work experience
A career timeline built from the work history available for this profile.
Compliance Consultant
CurrentI provide consulting services on a variety of regulatory and compliance issues for investment advisors and broker dealers. I specialize in conducting on-site compliance reviews, risk assessments and drafting policies and procedures.
Apr 2024 - Present
Chief Compliance Officer
Cedar Brook Group
Responsible for the daily management and oversight of compliance tasks for Cedar Brook Group's independent RIA, including review and administration of compliance policies and procedures, along with the creation of new policies and procedures in response to newly issued regulatory guidance. Also responsible for all regulatory filings and updates include.
Oct 2022 - Jan 2024
Director Of Compliance
Cedar Brook Group
Responsible for daily management and oversight of compliance tasks within Cedar Brook Group's independent RIA.
Aug 2021 - Oct 2022
Financial Planning Specialist
Cedar Brook Group
Analyzed, prepared and delivered comprehensive financial plans to advisors of the firm utilizing eMoney. Participated in Decision Center meetings with advisors and clients, presenting planning techniques while helping clients achieve their goals.Also helped advisors with additional assistance in education planning, tax planning, Social Security issues, and.
Mar 2013 - Aug 2021
Senior Advisor / Former Director Of Wealth Management
Mar 2007 - Feb 2013
Tax Planner
The Lipson Group
Prepared and reviewed individual tax returns in a small family office setting.
Nov 2004 - Feb 2006
Financial Planning
Jan 2003 - Nov 2004
Financial Planner
Kaufman & Co. Financial Planning / Prim Capital
Jun 1993 - Dec 2002
4 education records
Kelly Smith education
Education record
Accounting
Finance, Accounting
Education record
Kenston High School
FAQ
Frequently asked questions about Kelly Smith
Quick answers generated from the profile data available on this page.
What company does Kelly Smith work for?
Kelly Smith works for COMPLY.
What is Kelly Smith's role at COMPLY?
Kelly Smith is listed as Compliance Consultant at COMPLY.
What is Kelly Smith's email address?
AeroLeads has found 1 work email signal at @cedarbrookfinancial.com for Kelly Smith at COMPLY.
Where is Kelly Smith based?
Kelly Smith is based in Chagrin Falls, Ohio, United States while working with COMPLY.
What companies has Kelly Smith worked for?
Kelly Smith has worked for Comply, Cedar Brook Group, Beacon Financial Partners, The Lipson Group, and Lincoln Financial Advisors.
How can I contact Kelly Smith?
You can use AeroLeads to view verified contact signals for Kelly Smith at COMPLY, including work email, phone, and LinkedIn data when available.
What schools did Kelly Smith attend?
Kelly Smith studied at College For Financial Planning.
What skills is Kelly Smith known for?
Kelly Smith is listed with skills including Retirement Planning, Financial Planning, Investments, Tax, Securities, Estate Planning, Wealth Management, and Asset Management.
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