V. Keith Quinton
Keith Quinton provides compliance solutions to both broker-dealer and investment adviser clients. He has been engaged in the securities industry since 1979 in the areas of legal, compliance and financial operations, and has held key positions at several firms, including general counsel, CFO and CCO.
With his multi-decade experience and depth of compliance and regulatory expertise, Keith provides consulting expertise in the following:
- Mock regulatory audits
- Anti-Money Laundering audits (AML)
- Supervisory controls reviews
- Compliance program design
- Assistance during regulatory audits
Currently, Keith holds the position of Financial and Operations Principal (FinOp) for two broker dealers, and he previously worked as Financial Officer (CFO) and general counsel for a financial services holding company, where he directed the compliance and financial operations activities for a broker dealer subsidiary.
He received his Bachelor of Science in Accounting and his J.D. from the University of Oklahoma, where he graduated with distinction. Keith is an active member of the Oklahoma Bar Association and the Oklahoma Society of CPAs. Keith also holds FINRA Series 4, 7, 27, 53, 63, and 99 licenses.