Kalliopi Vlahu, CAMS, MBA
Chief of Controls, Pacific Complex
As the Chief of Controls, Pacific Complex, Kalli is responsible for the strategy, management, implementation, and overall leadership of the controls program functions for three OSJs (FINRA Offices of Supervisory Jurisdiction), over 300 Financial Professionals and over 50 detached locations throughout the Southern California Region of Equitable Advisors, LLC. She has been in the financial services industry for over 15 years.
Kalli was the recipient of the AXA Advisors Patricia Roy Leadership Award in 2014, as well as the recipient of the Branch Controls Manager Leadership Award, West Region, in 2014, 2016 and 2017. She was Co-Chair of the Branch Controls Manager Advisory Council (BCMAC) in 2016.
Kalli completed her undergraduate as well as her Master’s degree in Business Administration at the City University of New York – Baruch College, Zicklin School of Business. She currently holds the Certified Anti-Money Laundering Specialist (CAMS), a California Insurance License as well as the FINRA Series 4, 7, 24, 53, and 66 securities registrations.
Kalli is also currently serving the investing public and the securities industry as an independent contractor Arbitrator with FINRA.
Kalliopi Vlahu, as a delegated registered principal, provides administrative support services.
California Insurance License #: 0I26606