Keith Marks, J.D.

Chief Compliance Officer

Keith joined Kelleher Financial Advisors in October 2022 as the Chief Compliance Officer. Keith has 23 years of compliance experience as an Executive Director at Compliance Solutions Strategies (2017-2022), Partner and General Counsel of Ascendant Compliance Management (2007-2017), and Director of Investment Adviser Services at National Regulatory Services (1999-2007). Prior to starting his compliance career, Keith clerked for a year at both the Connecticut Supreme Court and Connecticut Appellate Court and spent two years in employment law litigation at Day, Berry & Howard, LLP (1997-1999). Keith has been a regular compliance speaker at events for Ascendant Compliance Management, the National Society of Compliance Professionals, the Investment Adviser Association, Charles Schwab & Co., and Charles River Development, among others. Keith is a graduate of Western New England University Law School and the University of Connecticut. Keith served as President and Board Chair of the New England Broker Dealer Investment Adviser Association from 2012-2017 and Board Chair of SOAR Educational Enrichment, Inc. from 2016-2022. Keith and his wife have Kristen have two daughters, Josie and Tess.

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