Kathleen C. Halliwell | Chief Compliance Officer

Originally from Connecticut, Kathleen graduated from Denison University in Granville, Ohio, with a Bachelor of Arts degree in Economics.

She began her capital markets career in Washington D.C., in portfolio management with a mutual fund company. She’s experienced in the areas of fixed income trading, sales and broker dealer compliance.

Prior to joining D.M. Kelly in 2000, Kathleen was a Senior Vice President and Senior Bond Trader for Wheat First Securities, Inc. in Richmond, Virginia. Kathleen is currently the Chief Compliance Officer for D.M. Kelly & Company and DMKC Advisory Services, LLC. She holds the Series 7, 63, 24, 14, 9, 10, 52, 53, 57, 79, and 99 licenses and is a Financial Professional of D.M. Kelly & Company.

Kathleen and her husband, Jim, live in West Des Moines, Iowa. They have two daughters and enjoy spending time with family and at sporting events. Kathleen is active in the community, having served as a member on the boards of education for Dowling Catholic High School and St. Augustin Catholic School.