The Wagner Law Group, Est. 1996

Sophisticated Legal Solutions Boutique-Style Service

Attorney Kim Shaw Elliott Headshot

Kim Shaw Elliott

Partner

Location:
Tampa

Practice Areas

Biography

Kim Shaw Elliott is an ERISA investment lawyer, engaging in a multi-disciplinary practice helping clients successfully navigate the complex intersection of ERISA, securities law, broker-dealer regulation and tax regulation. Kim represents broker-dealers, investment advisors, insurance companies and other entities nationwide, with a focus on fiduciary responsibility and best practices. She brings a business leader's perspective to the practice of law, having served as an executive responsible for advisory services to retirement plans, as well as chief compliance officer. As general counsel of industry leading broker-dealer/ investment advisor firms, Kim navigated through extensive claims litigation, multi-state regulatory actions and errors and omissions disputes, and presented actionable plans and guidance for compliant sales, operations, product development and customer service.

Publications & Media

Kim Shaw Elliott is a frequent speaker on employee benefits and securities-related topics.

Articles

Articles Published

Television Appearances

Education

  • Washington University School of Law, St. Louis, Missouri
    • LL.M. - 1985
    • Major: Taxation
  • Washington University School of Law, St. Louis, Missouri
    • Juris Doctor - 1979
  • Washington University in St. Louis - Olin Business School
    • M.B.A. - 1996
  • Southern Illinois University, Edwardsville
    • B.S., Bachelor of Science - 1976
    • Major: Mass Communications - Radio/TV

Bar Admissions

  • Illinois
  • Missouri
  • Florida

Professional Associations

  • Securities Industry and Financial Markets Association, Compliance and Legal Division, Member
  • Association of Corporate Counsel, President Emeritus
  • Missouri Bar, Employee Benefits Committee, Former Chair

Law Alerts

Massachusetts, Pennsylvania and New Jersey Taxpayers Beware

Massachusetts, Pennsylvania and New Jersey Taxpayers Beware:  Don’t Let a Mismatch between Your State’s Tax Laws and the Federal Rules for Deducting Contributions Result in Overpaying Your State Tax on Retirement Distributions.  Recordkeeping and Professional Advice...