Kimberli Fleck, Esquire
General Counsel and Chief Compliance Officer
Kim serves as General Counsel and Chief Compliance Officer for Vicus Capital. In this capacity, she oversees all aspects of the firm’s compliance and legal departments. Kim is responsible for promoting and ensuring compliance with all federal and state financial laws and regulations. Additionally, she maintains oversight of all policies and procedures of the firm. The scope of her work extends beyond the firm, having served on the advisory board of Walnut Street Securities on behalf of financial advisors.
Kim began her career as managing attorney for AHC, Inc. in Manassas, VA. She graduated from The Pennsylvania State University, receiving her Bachelor of Arts degree in Political Science and earned her Juris Doctor from the Widener University School of Law. She is admitted to the Commonwealth of Pennsylvania as an attorney at law. Kim holds FINRA registrations Series 4, 7, 24, 53, and 66.