
KELLY O. SCHMALHAUSEN
CRCP®
CHIEF COMPLIANCE OFFICER
Industry Experience: 25+ years
- Graduate, University of Houston – B.S., Economics
- Prior to L&W, extensive experience as Chief Compliance Officer, Manager / Director at various Registered Broker Dealers & Investment Advisers
- Responsible for L&W’s Compliance Program Policy & Code of Ethics and overall Compliance Program
- Chairs the firm’s Compliance Committee, serves on other committees, and advises Senior Management on regulatory compliance matters, as required
- Certified Regulatory and Compliance Professional (CRCP)®, graduate, 2011
- National Society of Compliance Professionals, member since 1994
- Born in Venezuela and raised in Houston; married, proud Aggie Dad of two grown sons