KC Allan Waldron

Vice President of Advisor Services Compliance, Charles Schwab & Co., Inc.
Event Speakers
Class of 2000

KC Allan Waldron is the Vice President of Advisor Services Compliance with Charles Schwab & Co., Inc. In this role, she manages the nationwide Advisor Services compliance program which covers brokerage account transactions by 7,000 investor advisors (over $1 trillion in assets). She was previously a Director in Schwab's Office of Corporate Counsel. Before joining Schwab five years ago, she was an Enforcement Attorney for the U.S. Securities & Exchange Commission in the San Francisco Regional Office, where she investigated and litigated violations of federal securities laws. Prior to that, she was a securities law attorney with Morrison & Foerster LLP in the Securities, Litigation, Enforcement & White Collar Crime Department. She graduated from the University of Texas School of Law (2000), and from Texas A&M University (Accounting 1997).