Mike Pedlow Email & Phone Number
EVP, Chief Compliance Officer @ Kestra Financial
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Mike Pedlow Location
- Austin, TX, US
Mike Pedlow Work
- 2020 -now EVP, Chief Compliance Officer @
- 2014 -now Chief Compliance Officer @
- 2015 -2020 SVP, Chief Compliance Officer @
- 2010 -2015 VP, Investment Advisory Compliance Officer @ NFP Advisor Services, LLC.
- 2007 -2010 RIA Compliance Officer @ Raymond James Financial Services
- 2005 -2007 IMPAC program Supervisor @ Raymond James Financial Services, Inc
- 2004 -2005 Investment Representative @
- 1999 -2005 Account Supervisor @
Mike Pedlow Education
- University of South Florida
BA (Economics)
1992-1997
Mike Pedlow Skills
- Compliance
- Securities
- Risk
- Risk Management
- Asset Managment
- Investments
- Financial Risk
- Asset Management
- FINRA
- Financial Services
- Investment Advisory
- Leadership
- Mutual Funds
- Portfolio Management
- Series 7
- Wealth Management
- Retirement
- Financial Advisory
- 401k
- Series 65
- Broker-Dealer
- Series 24
- Sales
- Management
- Microsoft Excel
- Project Management
- Broker Dealer
Mike Pedlow Summary
- Mike Pedlow, based in Austin, TX, US, is currently a EVP, Chief Compliance Officer at Kestra Financial. Mike Pedlow brings experience from previous roles at Kestra Private Wealth Services, Kestra Financial, NFP Advisor Services, LLC. and Raymond James Financial Services. Mike Pedlow holds a 1992 - 1997 BA in Economics @ University of South Florida. With a robust skill set that includes Compliance, Securities, Risk, Risk Management, Asset Managment and more. Mike Pedlow has 2 emails on RocketReach.
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