• See my other side

Catherine S. Anderson, IACCP℠ / Chief Compliance Officer

Kate works in our Asheville office and has more than fifteen years of experience in wealth management. A graduate of the University of North Carolina at Chapel Hill, she started her career at Smith Barney and joined us in 2000. As Chief Compliance Officer since 2004, Kate has developed and implemented strategies to identify and manage risk, and she helps to ensure a robust culture of compliance throughout the firm. 

A member of the National Society of Compliance Professionals, Kate travels several times a year to various industry conferences in order to keep the firm current on applicable regulations and best practices. She is a founding member of a Compliance Roundtable in Western North Carolina, a forum for regional securities compliance professionals to meet and discuss issues and best practices. Kate earned her Investment Advisor Certified Compliance Professional designation in 2012.