Kimberli Fleck, Esquire, Senior Vice President & General Counsel

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 PFG’s own federally registered investment advisor and continually monitors all facets of associate compliance requirements. She is a member of the Investment Advisory Board, and compliance and field operation committees for Walnut Street Securities, Inc.

Kim graduated from Pennsylvania State University, receiving her BA in Political Science. She earned her Juris Doctor from the Widener University School of Law and is admitted to the Commonwealth of Pennsylvania as an attorney at law. She holds FINRA registrations Series 4, 7, 24, 53 and 66.

t: 814.231.2221 e: kfleck@pfginc.com