About AdvisorLaw



About AdvisorLaw


 

Our story? It's really your story, too.

AdvisorLaw has grown the way you have, keeping pace with the ever-increasing demands of the U.S. financial services market. But instead of trying to be all things to all people, AdvisorLaw has chosen to provide the most important things to one: the financial advisor or wealth manager.

This focus was set long before 2016, when our founder, Dochtor D. Kennedy, was lead counsel for a firm specializing in acquisition loan assistance for financial advisors. It didn’t take long for him to realize that their customers needed much more than just money—their concerns spanned from erroneous investor claims and unjustified BrokerCheck disclosures to employer contract disagreements and beyond. The need was clear.

Today, AdvisorLaw is the leading full-service firm providing industry representation to thousands of financial advisors and wealth managers, nationwide. That’s because we’ve grown with our clients, and we’ve kept our singular focus exclusively on them and no one else.

You see, it’s all about you.


Complimentary Consultation

Our story? It's really your story, too.


AdvisorLaw has grown the way you have, keeping pace with the ever-increasing demands of the U.S. financial services market. But instead of trying to be all things to all people, AdvisorLaw has chosen to provide the most important things to one: the financial advisor or wealth manager.

This focus was set long before 2016, when our founder, Dochtor D. Kennedy, MBA, J.D. was lead counsel for a firm specializing in acquisition loan assistance for financial advisors. It didn’t take long for him to realize that their customers needed much more than just money—their concerns spanned from erroneous investor claims and unjustified BrokerCheck disclosures to employer contract disagreements and beyond. The need was clear.

Today, AdvisorLaw is the leading full-service firm providing industry representation to thousands of financial advisors and wealth managers, nationwide. That’s because we’ve grown with our clients, and we’ve kept our singular focus exclusively on them and no one else.

​AdvisorLaw is not a law firm and does not provide legal services. AdvisorLaw does have the expertise to advise and assist financial professionals when it’s time to defend your good name. We partner with attorneys ​who specialize in issues facing financial professionals, and can team with your own lawyers to provide the specific expertise called for.

You see, it’s all about you.


Complimentary Consultation


Administrative


Josh Barber ​Executive Director and Co-Founder

Josh Barber ​

CIO & Co-Founder
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Veronica Canto Employee Relations Manager

Veronica Canto, SPHR

Case Director of
Mergers & Acquisitions

Chris Cross, Director of Analytics

Chris Cross

Director of Analytics
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Matt Durr, E.A. Senior Business Development Manager

Matt Durr, E.A.

Vice President of
Mergers & Acquisitions
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Ashley Eubanks, Executive Assistant to the President & Founder

Ashley Eubanks 

Executive Assistant to the President & Founder

Francesca Forcinito, Marketing Manager

Francesca Forcinito

Director of Marketing

Kerry Foster, Human Resources & Payroll Specialist

Kerry Foster

Human Resources &
Payroll Specialist

Doc Kennedy, MBA, J.D. President and Founder

Doc Kennedy,
MBA, J.D.

President & Founder
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Becca Malone Executive Assistant

Becca Malone

Director of Operations

Stacy Santmyer, Executive Vice President

Stacy Santmyer, E.A.

Executive Vice President
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Annie Tieu Database Administrator

Annie Springer

Senior Systems Administrator

Kitty St. Laurent Executive Editor

Kitty St. Laurent

Executive Editor


Regulatory Compliance for FINRA Registered Professionals


Tad Burton, J.D. Managing Associate

Tad Burton, J.D.

Managing Director
of Client Relations
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Elena Chandler, FINRA Administrative Law Assistant

Elena Chandler

Administrative
Law Assistant

Andrea Dejear, FINRA Account Development Representative

Andrea Dejear

Account
Development
Representative

Harris Freedman, J.D., Senior Associate

Harris Freedman, J.D.

Senior Associate
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Kenneth Garcia Document Processing Coordinator

Kenneth Garcia

Document Processing
Coordinator

Melissa Gray, Account Development Representative

Melissa Gray

Account
Development
Representative

Hailey Harms, Account Development Representative

Hailey Harms

Administrative
Law Assistant

Dalton Hodges, Administrative Law Assistant

Dalton Hodges

Administrative
Law Assistant

Lisa Hurtado, Account Development Representative

Lisa Hurtado

Account
Development
Representative

Josephine Jiron, Account Development Representative

Josephine Jiron

Account
Development
Representative

Jason Kirkland Executive Director

Jason Kirkland

Executive Director

Belle Kraxberger, Administrative Law Assistant

Belle Kraxberger

Administrative
Law Assistant

Peter Lindholm, FINRA Associate

Peter Lindholm, J.D.

Associate
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Chelsea Masters, J.D.

Meredith McNulty

Account Development
Manager

Tori Moyer Administrative Law Assistant

Tori Moyer

Arbitration
Ranking & Document
Processing Coordinator

Kristy Myers, Administrative Law Assistant

Kristy Myers

Administrative
Law Assistant

Haley Piper, Administrative Law Assistant

Haley Piper

Administrative
Law Assistant

Crystal Rodriguez, Account Development Representative

Crystal Rodriquez

Account
Development
Representative

Sheyla Serrano Enrollment Coordinator

Sheyla Serrano

Client Relations Manager

Janay Simmons, FINRA Administrative Law Assistant

Janay Simmons

Administrative
Law Assistant

Carla Smith, Account Development Representative

Carla Smith

Account
Development
Representative

Michael Wunderlich Discovery & Investor Services Coordinator

Michael Wunderlich

Discovery & Investor
Services Manager


RIA Registration & Compliance for SEC/State Registered Professionals


Kimberly Anderson, RIA Lead Admin & Nexus Specialist

Kimberly Anderson

RIA Lead Admin
& Nexus Specialist

Michelle Atlas-Quinn, J.D. Managing Associate

Michelle
Atlas-Quinn, J.D.

Vice President of
RIA Operations
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Erika Binnix Associate

Erika Binnix, J.D.

Associate
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Christina Duncan, Compliance Analyst

Christina Duncan

RIA Compliance Analyst

Jhansi Fusco, RIA Associate

Jhansi Fusco, J.D.

Associate
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Wren Green, RIA Compliance Analyst

Wren Green

RIA Lead Compliance Analyst

Joel Hergenreter, RIA Compliance Analyst

Joel Hergenreter

RIA Compliance Analyst

Jake Jacobsen J.D. ​Associate

Jake Jacobsen, J.D.

​Associate
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Michael James, Compliance Analyst

Michael James

RIA Compliance Analyst

Amy Luna

Amy Luna

RIA Account
Development
Representative

Christopher Marks, Compliance Analyst

Christopher Marks

RIA Compliance Analyst

Janet Messer, Senior Compliance Analyst

Janet Messer

Senior RIA
Compliance Analyst
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Timothy Monaco, Compliance Analyst

Timothy Monaco

RIA Compliance Analyst

Anthony Novelle

Anthony Novelle

RIA M&A Account Development

Courtney Raymond

Courtney Raymond

Director of RIA Development

David Reichert, Senior Compliance Analyst

Dave Reichert

Senior RIA
Compliance Analyst
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Martin Remming, J.D., RIA Associate

Martin Remming, J.D.

Associate
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Ruth Thortvedt, Compliance Analyst

Ruth Thortvedt

RIA Compliance Analyst



Affiliates


Chelsea Bauer, Esq., ​HLBS

Chelsea Bauer, Esq.

Senior Attorney, HLBS
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Michael Bessette, Esq., ​HLBS

Michael Bessette, Esq. 

Managing Attorney, HLBS
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Owen Harnett, Esq., HLBS

Owen Harnett, Esq.

Managing Attorney, HLBS
Read Bio

John Quinn, Esq. Principal, Quinn Law Partners

John Quinn, Esq.

Principal, Quinn Law Partners
Read Bio


All photos copyright protected by and courtesy of Alan Kim Boling, Jr. and George Rosales.