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