Kay Johnson

Compliance and securities professional with over thirty years of experience in the financial services industry including positions as Chief Compliance Officer, Board Director, Branch Manager, Regional Manager, Operations Manager, Consultant, Expert Witness and Arbitrator. In addition to holding the Certified Regulatory Compliance Professional™ designation, I have been an Industry Arbitrator and Chairperson for FINRA Dispute Resolution, and a Subject Matter Expert for FINRA’s Committee on Continuing Education for over 15 years. I have served three terms on the FINRA District Committee and participated in FINRA Disciplinary Hearing Panels.