Kelly Whetstone
Chief Compliance Officer and Associate General Counsel
- Role
- Chief Compliance Officer and Associate General Counsel at Mlg Capital
- Location
- Portland, ME, US
- LinkedIn followers
- 500 followers
Experience
Chief Compliance Officer and Associate General Counsel
Nov 2025 — Present · Portland, ME, US
Education
University of Virginia School of Law
JD, Law
2000 — 2003
University of Virginia
BA, magna cum laude, Comparative Literature with a minor in Latin
1996 — 2000
Florida State University - Herbert Wertheim College of Business
MBA, Business Administration
2008 — 2010
Skills
- Financial Services
- Leadership
- Legal Research
- • Member of the New York, District of Columbia and Virginia Bars
- Broker-Dealer Compliance
- Broker-Dealer
- Corporate Governance
- 1940 Act
- Securities Regulation
- Securities
- Executive Leadership
- Strategic Planning
- Mutual Funds
- Risk Management
- Corporate Law
- Registered Investment Advisor
- • Finra Series 6, 7, 26, 63
- • Nrs Iaccp Designation
- Legal Writing
- Due Diligence
- Investments
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