Elizabeth Kaplan, Director, Chief Compliance Officer

Elizabeth Kaplan
Elizabeth Kaplan, J.D. Director Chief Compliance Officer

Elizabeth Kaplan is Chief Compliance Officer for Baird Trust Company, formerly known as Hilliard Lyons Trust Company. Elizabeth previously also served as Chief Compliance Officer for J.J.B. Hilliard, W.L. Lyons, LLC, a registered broker-dealer and investment advisor, which was merged into Robert W. Baird & Co., Incorporated. Elizabeth joined Hilliard Lyons in 2002 serving in a variety of different roles within the Compliance Department.

Prior to joining Hilliard Lyons, Elizabeth was an attorney in the Corporate and Securities departments of Greenebaum Doll & McDonald PLLC (now Dentons Bingham Greenebaum) in Louisville, Kentucky and Debevoise & Plimpton in New York, New York.  She is admitted to the bar in New York and Kentucky.

Elizabeth received her B.A. from Columbia College, Columbia University, summa cum laude, and her J.D. from Harvard Law School, cum laude.

Elizabeth holds the Series 7, 66, 24 and 14 securities licenses.

Elizabeth has served on the boards of various local civic and charitable organizations.  In addition, Elizabeth was an elected member of the Financial Industry Regulatory Authority (FINRA) Mid-West Region Committee from 2019-2021 and is currently a member of the Board of Directors of Junior Achievement of Kentuckiana and the Baptist Health Louisville Administrative Board.