Tim Keeton
Senior Director, Chief Client Marketing Compliance Officer at TIAA | Charlotte, North Carolina, United States
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Senior Director, Chief Client Marketing Compliance Officer at TIAA in February 2023 to Present
Director, Head of Global Communications Review and Advisory Support at TIAA in March 2021 to February 2023
Senior Manager, Interim Leader, Marketing Supervisory Controls | Marketing & Communications at TIAA in December 2018 to March 2021
Manager, CAO Process Management & Controls / Marketing | Business Management, Strategy, and Planning at TIAA in April 2016 to December 2018
Head of Senior Investors & Advisors Compliance, AVP | Office of Compliance Counsel, GRC at LPL Financial in March 2014 to November 2015
Head of Continuing Education & Communications, AVP | Governance, Risk & Compliance at LPL Financial in March 2014 to August 2014
Home Office Supervision, AVP | Financial Institutions | Governance, Risk & Compliance at LPL Financial in October 2010 to March 2014
Managing Partner | Investment Advisory CCO Consulting at Compliance Risk Managers in September 2009 to June 2011
Featured Regulatory Compliance and Risk Management Expert | Subject Matter Expert and Consultant at Zintro.com in October 2009 to November 2010
Vice President, Corporate & Investment Banking | Capital Markets, M&A, Private Finance, Control Room at Wachovia, A Wells Fargo Company in March 2001 to August 2009
Senior Compliance Officer | Capital Markets - Equities, Munis | Investment Advisory | NYSE / NASD at Hilliard Lyons in November 1997 to March 2001
Director - Strategic Marketing / Distributor Services / Operations | Fixed & Variable Annuities at Capital Holding Corporation in March 1993 to November 1997
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Hillsdale College, Certificate, January 2018
Indiana University Bloomington, Sophomore-Senior years. Earned credits towards B.A.
Massachusetts Institute of Technology, MITOpenCourseWare, January 2018
Indiana State University, Freshmen year only. Earned credits towards B.A.
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Financial Services
Securities
Compliance
Risk Management
Banking
Capital Markets
Supervision
Diminished Capacity Issues
Elder Financial Exploitation Issues
Suitability Analysis
KYC
Wealth Management
AML
FINRA
Series 7
Series 24
Investment Advisory
Financial Advisory
Equities
Series 63
Fixed Income
Investment Banking
Portfolio Management
Insurance
Due Diligence
Process Improvement
Anti Money Laundering
Enterprise Risk Management
Internal Audit
Alternative Investments
Executive Management
Uniform Combined State Law
Leadership
Investments
Elder Law
Options
Derivatives
Governance
Trading
ERISA
Financial Planning
Series 6
Series 65
Series 99
Finance
Management
Financial Risk
Mutual Funds
Asset Management
Strategy
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Discover more about TIAAWhat is Tim Keeton email address?
Email Tim Keeton at [email protected]. This email is the most updated Tim Keeton's email found in 2026.
How to contact Tim Keeton?
To contact Tim Keeton send an email to [email protected].
What company does Tim Keeton work for?
Tim Keeton works for TIAA
What is Tim Keeton's role at TIAA?
Tim Keeton is Senior Director, Chief Client Marketing Compliance Officer
What is Tim Keeton's Phone Number?
Tim Keeton's phone (704) ***-*301
What industry does Tim Keeton work in?
Tim Keeton works in the Financial Services industry.
Tim Keeton Email Addresses
Tim Keeton Phone Numbers
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