Gilkerson Law | Christopher Gilkerson, Attorney

Cutting edge, practical legal advice.

For start-ups, investment advisers, WealthTech firms, and others with innovative business models that cross boundaries in financial services.

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Boutique and Custom

If you’re creating something new, designing something disruptive, or facing an unexpected regulatory challenge, get top shelf legal advice without the big firm fees.

Regulatory counseling. SEC and ERISA rules.

Creative approaches to implementation. Policy reviews. Response to regulatory inquiries. Analysis of thorny interpretive questions. Conflicts of interest review and mitigation.

Go-to-market. Entity formation. Deal due diligence.

Expanding into adjacent markets. Design and launch of investment products and services including digital.

Agreements

Platform and strategic partnerships. Licensing arrangements. Inter-affiliate relationships. Referral and endorsement (solicitation) agreements. Service provider contracts.

Speed-dial, retainer service

Stand-by troubleshooting for firm principals and chief compliance officers.

Christopher Gilkerson

Former SVP and Chief Legal Officer of Charles Schwab & Co. Inc. Head of enterprise legal support for services to independent RIAs, affiliated RIAs, managed account platforms, retail distribution, investment products, brokerage operations and custody, digital services, retirement plan services, and international.

Former Assistant General Counsel for Market Regulation, US Securities and Exchange Commission. Adviser to Commission and Divisions on proposed rules, examinations, and enforcement actions relating to broker-dealers, investment advisers, and securities exchanges.

Multiple award winner, frequent speaker and writer on numerous industry topics.

J.D. from Yale Law School.

B.A. from The Ohio State University.