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Steven C. Wassom
Chief Regulatory Officer
Steve Wassom is the Chief Regulatory Officer at KSC after previously serving as Director of Finance and Administration from 1996 to 2011, and Chief Securities Regulatory Auditor from 1983 to 1996. He has served as Interim Securities Commissioner on two occasions between appointments of Commissioners in 1996 and 2010. Steve was in public practice with a national CPA firm in Wichita and Topeka, Kansas from 1976 to 1983. In 1974 and 1975, he was employed as a Business Manager / Controller for a private business and was an adjunct faculty member at a private liberal arts college.
Wassom is a member of the American Institute of Certified Public Accountants and the Kansas Society of Certified Public Accountants (KSCPA) and has served on several KSCPA committees. Steve served as Chairman of the Non-Profit Debt Offerings Project Group for the Corporate Finance Section of the North American Securities Administrators Association, Inc. (NASAA) during 2001 through 2004. He previously served on the NASAA Small Business Project Group, participated in organizing the Midwest Regional Review Program, and continues to be involved with various other NASAA activities and conferences. NASAA presented an Outstanding Service Award to him at the 85th Annual Conference in Philadelphia, Pennsylvania on September 29, 2002.
Steve obtained his bachelor's degree in psychology with a minor in business, and his MBA in management from Kansas State University. He completed post-graduate coursework in accounting at Wichita State University and became a certified public accountant in 1978 and has maintained a permit to practice in Kansas since that time.
Director of Compliance and Enforcement
Randy serves as the Director of Compliance and Enforcement and is responsible for the regulatory oversight of broker-dealers and investment advisers in Kansas as well as supervision of administrative and criminal investigations of alleged violations of The Kansas Uniform Securities Act and Kansas Loan Brokers Act. Randy began his regulatory career with the Office of the Securities Commissioner in 1997 as an investigator on enforcement cases alleging fraud, unregistered securities and unregistered loan brokers. Randy has also served as Examiner for NASD from 2002 to 2005 assigned to the Boston District Office. In 2006, Randy rejoined the KSC office and became assistant Director of Compliance. From 2006 to 2011, Randy served as volunteer member of the NASAA (North American Securities Administrators Association) Investment Adviser Training Project Group. Prior to his regulatory career, Randy served for 20 years as a member of the Wichita Police Department, retiring in 1997 at the rank of sergeant.
Randy resides in Wichita with his wife Carol.
Randy is a graduate of Friends University with a bachelor's degree in history.
Chief Regulatory Counsel
Clay Johnson serves as Chief Regulatory Counsel at KSC where he represents the Commissioner in administrative actions and represents the office in a variety of other regulatory, compliance, legislative, contract, employment, and other matters. Clay joined KSC in August 2016, before which he spent 19 years in private practice both in complex commercial litigation and in a transactional employee benefits practice. He began his legal career as a judicial law clerk, first for Hon. Frederick J. Scullin, Jr., and then for Hon. Deanell Reece Tacha.
Clay received his bachelor’s degree in history from the University of Illinois at Urbana-Champaign and his law degree from Syracuse University College of Law. He and his wife, Renae, reside in Lawrence with five children and a feisty dog.
Chief Litigation Counsel
Tom Knutzen serves as Chief Litigation Counsel at the KSC, where he has worked as an attorney since 2015. His duties include overseeing the prosecution of administrative and civil enforcement actions, and assisting in the preparation of criminal investigations for referral to the Attorney General’s Office. Prior to joining the KSC, Tom held other attorney positions in the public sector, including at the Shawnee County District Attorney’s Office, the Jefferson County Attorney’s Office, and the Kansas Secretary of State’s Office.
Tom received his bachelor’s degree in history and political science from the University of Kansas in 2007, and his law degree from the University of Kansas in 2009. He resides in Jefferson County with his wife, Amy, their four children, and various and sundry farm animals.
Director of Regulatory Systems
Paul Lock serves as the Director of Regulatory Systems at the Office of the Kansas Securities Commissioner (KSC) and has worked at the agency since 2014. He performs Corporate Finance examinations, develops and coordinates KSC business processes and information systems, assists in budget preparation and analysis, and manages office support staff.
Mr. Lock graduated from the University of Kansas and holds a bachelor’s degree in Business Administration. He managed a Kansas insurance agency for most of his career prior to joining the Office of the Kansas Securities Commissioner and was a Senior Analyst at Best Buy Corporate from 2000 to 2002. He received his Kansas insurance agent license in 1991, is CompTIA A+ certified, and is currently serving as a member of the NASAA (North American Securities Administrators Association) Enforcement Technology Project Group.
He resides in Lawrence with his wife Jill and his four children.
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