Keith serves as chief compliance officer for the firm. He is responsible for administration and development of the firm’s compliance program in accordance with its registration as an investment adviser with the U.S. Securities and Exchange Commission. Keith brings 25 plus years of experience working on regulatory compliance with registered investment advisers.
Keith began as a compliance consultant with National Regulatory Services and then became a partner, general counsel and consultant for Ascendant Compliance Management. He continued with Compliance Solutions Strategies as an Executive Director for five years after that firm’s acquisition of Ascendant. Before joining FLP, Keith was also the chief compliance officer of Kelleher Financial Advisors.
Keith received his Juris Doctor from Western New England University and his Bachelor of Arts from the University of Connecticut. He served as a clerk for the Connecticut Appellate and Supreme Courts.