Karey A. Williams

Prior to joining Calfee in March 2025, Karey served as Chief Compliance Officer and Head of Supervision at Thurston Springer Financial/Thurston Springer Advisors. There, she created and maintained compliance programs for broker-dealers and registered investment advisors and headed all regulatory exams, state examiners and internal audits for AML, custody, OSJ and branch audits. Karey fulfilled annual requirements for the 3120/3130 certification and 206(4)-7 reports and executed all FINRA registration U4, U5, form BR, form BD, exams, exam waivers and CMAs. She also updated and submitted all ADV filings for the RIA, created ADV part 2A, wrap brochure, form CRS, and the IAR’s ADV part 2Bs. Karey was also responsible for creating and maintaining WSPs and RIA P&P manuals.

Karey has considerable experience updating BCP, privacy policy, 606 and ADV access notices and MSRB G-10 Letters for annual mailings. She has reviewed and approved marketing and advertising, correspondence, OBAs, political contributions, gifts and entertainment, and outside brokerage accounts. She has created and executed the Annual Compliance Meeting and Annual Compliance Questionnaire and created and implemented Firm element CE as well as coordinated reminders for FINRA CE and IA CE.

Karey has more than 30 years of experience in the Finance and Insurance industry, with the majority of her industry experience as a municipal bond broker for dealer and dealer banks. She began her supervision/compliance career as a producing Regional Branch Manager for Wolfe & Hurst bond Brokers in 1994 and then served as a Senior Compliance Officer for David A. Noyes & Co., Senior Compliance Officer for the Bank of Montreal Asset Management Corporation, and Senior Consultant for Bristal Lane Group prior to her role at Thurston Springer Financial/Thurston Springer Advisors.

Education

B.A., Applied Behavioral Science, National Louis University, 2013

New York University School of Continuing Education, Associate’s Degree, Business Administration, 1989

Certifications & Licenses

Certified Securities Compliance Professional (CSCP)

Certified Anti-money Laundering Specialist (CAMS)

FINRA Series 7, 52, 24, 53, 63 Licenses

Insurance Producer License Health & Life Insurance

Karey Williams is not licensed to practice law.