Kim Chapman

Kim Chapman serves as Chief Compliance Officer for Berthel Fisher Companies and is responsible for the overall compliance program as well as supervisory activity and risk mitigation. She has more than 40 years of experience in the financial services industry, including over 20 years in compliance. Prior to joining Berthel Fisher, Kim spent much of her career in the Minneapolis area before relocating to central Iowa.

Kim recognizes the burden rules and regulations is to independent financial professionals. With this in mind, she coaches her team to always approach our financial professionals with a helpful mindset. In addition, Kim is active with several industry groups. With FINRA, Kim has been an elected member of the Midwest Regional Committee as well as the National Adjudicatory Council serving as Vice Chair in 2025. She is also active with the Financial Services Institute (FSI) and the National Society of Compliance Professionals (NSCP) by speaking at conferences or on webinars and serving on subcommittees.

Kim is married to Neal, and enjoys growing fruit that she makes into wine, serves on the council of her church in Iowa City and shares her home with two dogs and a cat. She has a daughter who teaches 7^th grade science in Bryan/College Station, Texas. In her spare time Kim enjoys cruising around the United States rivers and other coastal areas soaking up history!