Kathe Espinili

Chief Compliance Officer & Partner at J. Derek Lewis & Associates, Inc.
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Contact Information
us****@****om
(386) 825-5501
Location
Newport Beach, California, United States, US

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Bio

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Credentials

  • Series 14
    FINRA
    Jan, 2023
    - Oct, 2024
  • Series 24
    Financial Industry Regulatory Authority (FINRA)
    Jul, 1993
    - Oct, 2024
  • Series 63
    Financial Industry Regulatory Authority (FINRA)
    Feb, 1991
    - Oct, 2024
  • Series 7
    Financial Industry Regulatory Authority (FINRA)
    Sep, 1984
    - Oct, 2024
  • Series 65
    Financial Industry Regulatory Authority (FINRA)
  • Series 99TO
    Financial Industry Regulatory Authority (FINRA)

Experience

  • J. Derek Lewis & Associates, Inc.
    • United States
    • Financial Services
    • 1 - 100 Employee
    • Chief Compliance Officer & Partner
      • Jan 1990 - Present

      Kathe began working with Derek Lewis in 1990 and assisted in the formation and registration of JDL Securities Corporation in 1991 (a subsidiary of J. Derek Lewis & Associates). In 2006 she transitioned J. Derek Lewis & Associates to an SEC registered investment adviser. Kathe specializes in compliance, technology and problem solving, as well as keeping up with the many regulatory demands of a dually registered firm. Prior to coming to JDL, Kathe worked for several major brokerage firms including Oppenheimer & Co., Smith Barney, Drexel Burnham Lambert, and Shearson Lehman Hutton. Show less

  • JDL Securities Corporation
    • Chief Compliance Officer
      • Jan 1991 - Present

      Kathe began working with Derek Lewis in 1990 and assisted in the formation and registration of JDL Securities Corporation in 1991. Kathe has been licensed as a Registered Representative since 1984 and as a Registered Principal since 1993. Kathe began working with Derek Lewis in 1990 and assisted in the formation and registration of JDL Securities Corporation in 1991. Kathe has been licensed as a Registered Representative since 1984 and as a Registered Principal since 1993.

  • RKE Healthcare Consulting, Inc.
    • CFO, Owner
      • Aug 2018 - Present
  • Shearson Lehman Brothers International Inc.
    • Investment Banking
    • Registered Sales Assistant
      • Feb 1989 - Jan 1990
  • Drexel Burnham Lambert
    • Investment Banking
    • 1 - 100 Employee
    • Registered Sales Assistant
      • Mar 1988 - Feb 1989
  • Salomon Smith Barney Holdings Inc. (NYSE: SB)
    • Registered Sales Assistant
      • Sep 1986 - Mar 1988
  • Oppenheimer & Co. Inc.
    • Financial Services
    • 700 & Above Employee
    • Registered Sales Assistant
      • Jul 1983 - Jul 1986

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