Karey Chester*

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Karey Chester, OSJ Manager

Karey Chester*

AIF®

Compliance Officer
p 785-841-4664
f 785-841-7719
karey@mcdanielknutson.com

The financial services business is very highly regulated. Given the size of our firm, we have many regulatory protocols to follow and organizations to which we report. In addition to many state insurance departments, our broker-dealer, the Financial Industry Regulatory Authority (FINRA), and the Securities and Exchange Commission (SEC) we also have our own internal policies, procedures, business processes, and values.

As our Office of Supervisory Jurisdiction (OSJ) Branch Manager, Karey is responsible for ensuring that McDaniel Knutson’s advisors and administrative staff stay in compliance with all federal, state, and FINRA rules and regulations.

As if she didn’t have enough on her plate already, Karey also serves as the Chief Compliance Officer of our SEC-registered Registered Investment Advisory (RIA) firm. Licensed to sell life insurance, she is also an Accredited Investment Fiduciary®, a designation earned from the Center for Fiduciary Studies. Needless to say, Karey is a really big deal and she stays super busy.

Karey joined our team in 1998. Initially hired as an administrative assistant to Wayne and Jude, her role evolved as she furthered her education and gained industry knowledge. Compliance regulations became more stringent for advisors, requiring someone with savviness in computers and specialization in compliance. Specifically, Karey is the one we trust to keep us within the steady, conservative ethos required of the financial industry.

When not at work, Karey serves on the board for Just Food; the food bank in Douglas County, supplying more than forty partner agencies with food donated from community food drives.

Education
  • Bachelor of Arts in Anthropology, The University of Kansas
Designations
  • Accredited Investment Fiduciary®
Certifications
  • Series 6, 63, 65, 7, 24, 53 registrations
Memberships and Board Positions
  • Treasurer of the Board, Just Food

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