Katherine Stephens

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Chief Compliance Officer

Katherine is responsible for oversight of the firm’s compliance program.  She joins Pugh Capital with over 22 years of regulatory, legal, sales supervision and audit experience.  Katherine previously held positions with FINRA, Safeco, Charles Schwab, Superior Court and Department of Defense.  Prior to joining Pugh Capital in 2016, she was the compliance supervisor for Rainier Investment Management.  She graduated magna cum laude with a B.S. in Accounting from Arizona State University.