Kevin Spence Email & Phone Number

Director, Compliance Officer @ TIAA

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Kevin Spence Location

Richmond, Virginia, United States

Kevin Spence Work

2020 - now Director, Compliance Officer @ TIAA
2020 - 2020 Field Supervisor - Attorney @ William & Mary Law School
2018 - 2020 Chief Compliance Officer @ Cary Street Partners

2015 - 2017 Vice President Senior Compliance Manager, Regulatory Compliance @ HSBC
2015 - now Finra Industry Arbitrator @ FINRA (Financial Industry Regulatory Authority)
2012 - 2015 Vice President Senior Compliance Officer - Digital and Advisory Services @ Wells Fargo Advisors
2010 - 2012 Vice President Senior Compliance Officer - Retail Surveillance @ Wells Fargo Advisors
2004 - 2006 Associate Vice President Compliance Officer - Registration and Licensing @ Wells Fargo Advisors
2001 - 2004 Associate Vice President Compliance Officer - Dispute Resolution @ Wells Fargo Advisors

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Kevin Spence Education

The Wharton School
Saint Louis University School of Law
Doctorates
Saint Louis University School of Law
Doctor of Jurisprudence (Business)

Virginia Commonwealth University
Bachelor of Science (Psychology)

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Kevin Spence Summary

Kevin Spence, based in Richmond, Virginia, United States, is currently a Director, Compliance Officer at Tiaa. Kevin Spence brings experience from previous roles at William & Mary Law School, Cary Street Partners, HSBC and Financial Industry Regulatory Authority (Finra). Kevin Spence holds a The Wharton School. Kevin Spence has 2 emails and 1 mobile phone numbers on RocketReach.

Kevin Spence Emails

Found 2 emails

Kevin Spence Phone Numbers

Found 1 phone numbers

804338XXXX

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