Wealth Management Since 1971

KELLY O. SCHMALHAUSEN

KELLY O. SCHMALHAUSEN

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KELLY O. SCHMALHAUSEN

CRCP®

SENIOR VICE PRESIDENT

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

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