Chief Compliance Officer
Kim Chapman serves as Chief Compliance Officer for Berthel Fisher subsidiaries. She joined Berthel Fisher in November 2020. Kim has 20+ years of experience as a senior level compliance officer at several national firms. She holds a FINRA securities license 6, 7, 14, 24, and 99. Kim has a Bachelors in Business administration from Augsburg University in Minneapolis, MN. Her previous experience includes sales supervision, management of regulatory audits and investigations, design and implementation of new processes, training and development, AML and risk management/mitigation. Kim is a committee member for FINRA’s Midwest Regional Committee.