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Kevin Mainelli is a senior managing director and chief compliance officer for Lument. He has been with the firm for nearly 25 years and is based in Columbus, Ohio. Kevin is responsible for ensuring the various Lument entities are in compliance with the rules, regulations, and guidelines of the SEC, FINRA, MSRB, HUD/FHA, and the government-sponsored enterprises.
Kevin has over 35 years of financial services experience. He joined Lument’s predecessor company Red Capital Group in 2000. Prior to that, he held compliance roles at Newman and Associates, Banc One Capital Corporation, and FirsTier Financial.
Kevin attended Doane College in Lincoln, Nebraska, and is a member of the National Society of Compliance Professionals and the Financial Markets Association. He is also a licensed registered representative and principal (Series 4, 7, 24, 27 and 63) with FINRA.