Kimberli Fleck, Esq
General Counsel and Chief Compliance Officer
Kimberli Fleck is Senior Vice President and General Counsel for PFG. In this capacity, Kim oversees all aspects of PFG’s Compliance and Legal departments, interfacing directly with broker dealer executive staff and State and Federal regulators on behalf of PFG associates. She is Chief Compliance Officer for Vicus Capital, a federally registered investment advisor and continually monitors all facets of associate compliance requirements.
Kim began her career as managing attorney for AHC, Inc. in Manassas, VA. She graduated from The Pennsylvania State University, receiving her Bachelor of Arts degree in Political Science and earned her Juris Doctor from the Widener University School of Law. She is admitted to the Commonwealth of Pennsylvania as an attorney at law. Kim holds the Series 4, 7, 24, 53 and 66 securities registrations.