Chief Compliance Officer
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Mr. Esche has over 25 years’ experience working in the securities industry and operates as the Chief Compliance Officer for Kimery Wealth Management. He spent 16 of those years as a securities regulator with the State of Florida, Office of Financial Regulation (“OFR”). He began his working for OFR in August of 1990.
Mr. Esche was promoted to the position of Area Financial Manager of the securities examination staff located in OFR’s West Palm Beach field office in October of 1997. After serving as OFR’s Area Financial Manager, Mr. Esche wanted to pursue a consulting career and was hired by Capital Markets Compliance®, LLC. (“CMC”) as a Senior Associate Consultant in December of 2006. Mr. Esche also served as the Chairman of CMC’s Written Supervisory Procedures (“WSP”) Committee. In this role he was responsible for supervising the process of keeping the firm’s BD and IA WSP up-to-date based on FINRA, SEC, MSRB, FinCEN, and NASAA releases of new rules and interpretations.
Currently Mr. Esche resides in the Metropolitan Atlanta area. He is married and has one son. Mr. Esche is originally from Florida and graduated from the University of Florida in June 1982.