Keith Gaffney

Keith joined ARK in November 2022. In his role as Director of Compliance – Marketing, Keith’s primary responsibility is to ensure all advertising and marketing communications adhere to applicable rules and regulations.

Keith has 24 years of industry experience. Prior to joining ARK, Keith served as the Director of Marketing Compliance at Lord, Abbett & Co. LLC (“Lord Abbett”) for 10 years. Prior to Lord Abbett, Keith was a Vice President in the Compliance Department at AllianceBernstein for approximately 3 years, primarily responsible for marketing compliance as well as retail sales practice compliance. Prior to AllianceBernstein, Keith held various Compliance positions at Goldman Sachs Asset Management, Deutsche Bank Asset Management, Laurus Capital Management, and AIG. Keith began his career working in Client Services in the Securities Lending Department of The Bank of New York. Keith graduated from the City University of New York – College of Staten Island with a Bachelor of Science in Business Management. Keith also holds FINRA Series 7, 24 and 63 licenses.