Kimberly Lecompte Caldwell

Advisor Communications and Oba Principal @LPL Financial

Fort Mill, SC, US

In a consultative manner, evaluate marketing materials and other forms of communication with the public and provide principal approval or instructions to change the material in order to provide approval.• Consult with advisors on their marketing initiatives.• Research and address instances where the firm’s policies regarding communications with the public are not being followed.• Educate advisors, financial institutions, and home office employees regarding communications with the public.• In June 2025, completed cross training to review Outside Business Activities• Assist with research and response to regulatory inquiries including branch exams regarding communications with the public.