Kelly C. Dehler
Director
Office: Chicago
Phone: (917) 597-0621
Fax: (212) 679-3570
Email: mail@alariccompliance.com
Kelly C. Dehler is a securities industry professional with over 24 years of experience in the roles of:
Within the NASD, Ms Dehler also held the role of Trading and Market Making Surveillance Examiner - Market Regulation and specialized in trading and market making surveillance examinations of the 150 largest market makers on the NASDAQ through on-site firm audits and interviews with senior management and trading personnel.
Ms Dehler was the Manager of Shareholder Services for Stein Roe Mutual Funds, Chicago, and also has experience as a mutual fund Assistant Secretary coordinating board and audit committee meeting activities. She has experience in the monitoring of firm compliance with new and existing Federal and State securities laws applicable to investment advisers under the Investment Advisers Act of 1940 and mutual funds under the Investment Company Act of 1940.
As a fully licensed attorney, she is currently admitted to practice in
Illinois. She earned her BA degree from Western Illinois University, her
MBA from Keller Graduate School of Management, and her JD from The John
Marshal Law School. She has qualified for the following securities industry
licenses: Series 6; Series 7 (Registered Representative); Series 24 (General
Securities Principal); Series 63 (State Law/Agent); and Series 65 (Investment
Advisor).
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