Patricia Klusmeyer

Mrs. Klusmeyer specializes in providing legal advice and compliance support to registered investment adviser clients. During her time at Parker MacIntyre since 2016 she has provided compliance guidance to investment adviser and broker-dealer clients, assisted with various regulatory filings, drafted compliance policies and procedures, drafted agreements, helped prepare responses to SEC and state examinations, and represented clients in FINRA arbitration. Mrs. Klusmeyer maintains familiarity and competence regarding recent developments in securities rules, the Financial Industry Regulatory Authority, and regulations from federal and state regulators, including the Securities and Exchange Commission and the Department of Labor. She has helped clients implement procedures to comply with these developments. She regularly attends conferences in order to keep current with industry regulations, including the 2018 National Society of Compliance Professionals (NSCP) National Conference in Atlanta. She also routinely presents at seminars presented by Parker MacIntyre for registered investment advisers and adviser representatives. Past topics have included RIA advertising on social media, custody resulting from standing letters of authorization, and the now vacated Department of Labor fiduciary rule. Mrs. Klusmeyer is licensed to practice law in the state of Georgia and is admitted to practice in all Georgia Courts. She currently lives in Alpharetta with her husband Alex and their pet cat Romy. In her spare time, she enjoys gardening, hiking, and trying new recipes. View More ›