Organization of DFI
The Department of Financial Institutions (DFI) is currently organized into three divisions and two branches: the Division of Depository Institutions, the Division of Nondepository 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.
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Office of the Commissioner |
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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
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Division of Depository Institutions |
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The Division of Depository Institutions, which is further organized into two industry-specific branches: Banks and Credit Unions, is responsible for chartering, examining and otherwise supervising the operations of state-chartered or licensed depository financial institutions.
Division of Depository Institutions
Kathy Stewart, director
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Division of Nondepository Institutions |
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The Division of Nondepository Institutions, which is further organized into two branches: Compliance and Consumer Protection, is responsible for licensing, registering, examining and otherwise supervising the operations of state-regulated nondepository financial institutions and individuals.
Division of Nondepository Institutions
Nicole Biddle, director
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Division of Securities |
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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
Shonita Bossier, director
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Administrative Services Branch |
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The Administrative Services Branch is responsible for providing administrative support services to the entire staff.
Administrative Services Branch
Lisa Clark, manager
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Information Technology Branch |
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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
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