Member Profile

Kimberly Shaw Elliott is an ERISA investment lawyer, engaging in a multi-disciplinary practice helping clients successfully navigate the complex intersection of rules founded in ERISA/employee benefits, securities law, broker dealer regulation and tax. Kim represents broker dealers, investment advisers, insurance companies and others nationwide, with a focus on fiduciary responsibility. She brings the business leader’s perspective to the practice of law, having served as an executive responsible for building and distributing investment products, both domestically and offshore, as well as chief ERISA counsel for major distributors. As general counsel of a broker dealer/investment advisor, she led those firms through extensive claims litigation, multi-state regulatory actions and E&O coverage disputes. She has advised retirement plan trustee committees, for defined benefit and defined contribution plans, with plan assets exceeding $2 billion. Licensed over 30 years as an attorney in Illinois and Missouri, Kim is a three-time graduate of Washington University in St. Louis, having earned her JD, LLM, and executive MBA there. She is a FINRA licensed principal and investment advisor representative with Calton & Associates, Inc. and holds the Fellow, Life Management Institute designation. Kim is a member of the Compliance and Legal Division of the Securities Industry and Financial Markets Association, was named President Emeritus of the Association of Corporate Counsel (St. Louis), chaired the Employee Benefits Committee of the Missouri Bar, and is a frequent speaker on employee benefits and securities-related topics.