Kim Shaw Elliott Email & Phone Number

Florida, United States

Tampa And Greater St. Louis Area

Actionable, practical legal guidance about ERISA Investment Law and fiduciary responsibilities. Moved to Of Counsel, contract role as of 2/24.

Northbrook, IL

Inspiring fiduciary best practices and fostering the best interest of investors along the road to financial independence. Advice about securities related issues for HUB International's acquisitions.

Tampa, Florida

Led retirement plan advisory business; defined risk management strategies for retirement plans, As ERISA counsel, supported advisors regarding matters such as fiduciary responsibilities, technical ERISA compliance, and fiduciary best practices. Investment advisory services offered through Independent Financial Partners (IFP), a registered investment.

St. Louis/Chicago

Fortified Baugh Dalton’s already strong litigation defense expertise with from-the-trenches guidance about how financial organizations deliver services and products to retirement plans, as well as general securities compliance and regulation. Having spent many years in-house in senior roles as both a lawyer and an executive, Kim crafted legal advice that.

618-223-1479, kelliott@roberts-elliott.com

As an ERISA investment lawyer, Kim engaged in a multi-disciplinary practice representing broker dealers, insurance companies, investment advisors, administrators,plan sponsors and others. With an emphasis on regulation of financial services companies, she advised business leaders about designing compliant distribution methods, selecting products to meet.

Los Angeles - Boston

Integrating securities and ERISA compliance, PRI delivers “best practice” approaches for workable and sustainable strategies for servicing ERISA and IRA clients.

St. Louis, MO

Lead counsel and Chief Compliance Officer to launch EverBank Wealth Management, Inc., a new bank-affiliated, federally registered investment advisor. Lead counsel for EverTrade Direct Brokerage, Inc., a registered broker dealer, member of FINRA.

St. Louis, MO

Primary internal resource for legal issues arising from the intersection of ERISA, broker dealer regulation, tax and the Advisers Act. Lead attorney for retirement programs, including IRAs, and for the firm’s own employee benefits. Facilitated design of distribution arrangements; negotiated mutual fund and insurance product selling agreements, including.

St. Louis, MO

As part of new executive turn-around team, directed all aspects of the company’s legal affairs, including: government regulation, agreements and contracts, dispute resolution, sales and marketing practices, corporate governance, employment issues and benefits structure.

Greater Chicago Area

Led two lines of business for nation’s highest seller of bank owned insurance securities products. Forged alliances among the insurer, financial institutions, top producers and fund managers to deliver products distinctively suited to the ultra-affluent by offering hedge funds and private investments Built new business, from start up initiative to.

St. Louis, MO

Served as chief legal advisor for the tax, ERISA and employee benefit issues arising from company’s products and services, including qualified retirement plans, group life and health benefits, and executive benefits.

Greater St. Louis Area

Llm, Graduate Law- Taxation

Jd, Law

Executive Mba

Bachelor Of Science (Bs), Mass Communications- Radio/Tv