GENERAL COUNSEL
kshawelliott@pension-resources.com
Kim provides legal and regulatory guidance to PRI in connection with the development and distribution of its products and services. She also performs legal services on ERISA- and investment-related matters through the law firm of Roberts Elliott, LLP.
As an ERISA investment lawyer, Kim brings a multi-disciplinary approach to challenges facing broker-dealers, insurance companies, investment advisers, third-party administrators and others retirement-related service providers. With an emphasis on regulation of financial services companies, she advises PRI on compliant sales and distribution relating to servicing and managing employee benefit plans and satisfying operational, tax, disclosure and fiduciary duties.
Kim adds a unique client-centric perspective to PRI, having represented a variety of financial services companies as chief in-house counsel and as an executive with full P & L accountabilities. She worked as general counsel of FFP Securities (n.k.a. First Allied), a broker-dealer and investment adviser, chief counsel and chief compliance officer of Everbank, a bank-affiliated investment adviser, lead ERISA attorney for Edward Jones, a broker-dealer/investment adviser and major distributor of retirement plan products and services and in a variety of capacities with investment product manufacturers advising on distribution issues both domestically and offshore. She has also provided legal guidance to a number of retirement plan trustee committees, for both defined benefit and defined contribution plans, with plan assets exceeding $2 billion.
Licensed as an attorney in Illinois and Missouri, Kim is a three-time graduate of Washington University in St. Louis, having earned her JD, LLM, and executive MBA there. Her bachelor’s degree in Mass Communication- Radio Television was awarded by Southern Illinois University at Edwardsville. She was a FINRA licensed principal and investment adviser representative while in-house and holds the Fellow, Life Management Institute designation. In addition to various civic activities, Kim was named President Emeritus of the Association of Corporate Counsel (St. Louis), chaired the Employee Benefits Committee of the Missouri Bar and is a frequent speaker on employee benefits and securities-related topics.