Kim L. Oeder
Chief Compliance Officer & President, Inverness Securities Inc.
Kim Oeder joined Ancora in 2018, serving as the President and Chief Compliance Officer of Ancora Holding’s broker dealer, Inverness Securities Inc., Mr. Oeder oversees the daily operations and all compliance measures for the broker dealer. His primary responsibilities include registration of the broker dealer and its registered representatives with securities and insurance regulators. Kim handles regulatory reporting requirements and internal compliance controls to include continuing education, marketing review and investment due diligence. He also assists with compliance oversight of Ancora’s Family Wealth Investment Advisors.
Prior to joining Ancora, Mr. Oeder spent 22 years at Key Corp in various compliance and management roles. Notably, Kim served as CCO for Victory Capital Advisers and oversaw all aspects of operating the Broker Dealer, to include AML and OFAC officer for both Victory and the Victory Funds. He developed in-house compliance and continuing education programs while handling marketing review for all of Victory Capital. He also performed due diligence on firms within the distribution network for the Victory Funds. While at Key, Kim also held management positions with McDonald Investments, Key Investments, and Key Bank Corporate Compliance, where he was also a Code of Ethics officer. Kim started his investment career in 1995 with Prudential Insurance/Securities in a sales role. Prior to his financial services career, Kim worked for General Foods in product development and quality assurance.
Kim graduated from Bowling Green State University where he earned a Bachelor of Business Administration with a major in Finance. Kim is a FINRA registered representative and licensed principal. He also holds an Ohio Life, Health and Variable Annuity Insurance license and the Chartered Retirement Planning Counselor designation. In addition, Mr. Oeder is a licensed United States Coast Guard captain and operated a successful charter business on Lake Erie for over 25 years.