Keith Kessel

Compliance Consultant

Keith Kessel specializes in business law, including the corporate finance, private equity, venture capital, mergers & acquisitions, financial services industry laws and company law. He has been a corporate, securities and transactional lawyer and compliance professional in the financial services industry for the past 16 years.

During that time, Keith has served in various executive, legal and compliance roles for a multitude of corporations and trust companies, including investment advisers, investment companies, broker-dealers, banks, investment banks, insurance agencies, stock exchanges and securities clearing and depository institutions, as well as other financial service providers.

He retains the FINRA series 4, 7, 24 and 53 registrations applicable to various financial products supervision and sales, as well as the NASAA Series 65 registration for investment advisory activities.

Keith currently serves as a consultant providing regulatory and legal counsel for RIA Registrar, LLC.

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