Organization of DFI

The Department of Financial Institutions (DFI) is currently organized into two divisions and two branches: the Division of Financial Institutions, the Division of Securities, the Administrative Services Branch and the Information Technology Branch. These fall under the supervision of the Office of the Commissioner.

In addition to the commissioner and his deputy, the Office of the Commissioner also houses the Office of General Counsel, which handles the agency's legal affairs.

Office of the Commissioner
Charles Vice, commissioner
Ambrose Wilson IV, deputy commissioner

Office of General Counsel
David Reichert, general counsel

The Division of Financial Institutions, which is further organized into three industry-specific branches: Banks, Credit Unions and Compliance, is responsible for chartering and/or licensing, examining and otherwise supervising the operations of state-chartered or licensed depository and nondepository financial institutions.

Division of Financial Institutions
David Coyle, director

The Division of Securities is organized into three branches: Compliance, Enforcement and Licensing and Registration and handles the regulation and supervision of the state's securities industry by registering, licensing, examining, investigating and otherwise supervising securities firms and professionals operating in Kentucky or involving Kentucky investors.

Division of Securities
James C. Strode, director

The Administrative Services Branch is responsible for providing administrative support services to the entire staff.

Administrative Services Branch
Teresa Sanders, branch manager

The Information Technology Branch is responsible for providing technical support services to the entire staff.

Information Technology Branch
Brian Raley, manager

Department of Financial Institutions
1025 Capital Center Drive
Suite 200
Frankfort, KY 40601
Phone: 502-573-3390
Toll free: 800-223-2579
Fax: 502-573-0086
E-mail: kfi@ky.gov