Mike Pedlow Email & Phone Number
EVP, Chief Compliance Officer @ Kestra Financial
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Mike Pedlow Location
- Austin, TX, US
Mike Pedlow Work
- EVP, Chief Compliance Officer @ (February 2020 - Present)
- SVP, Chief Compliance Officer @ (June 2015 - February 2020)
- Chief Compliance Officer @ (August 2014 - Present)
- VP, Investment Advisory Compliance Officer @ NFP Advisor Services, LLC. (June 2010 - June 2015)
- RIA Compliance Officer @ Raymond James Financial Services (October 2007 - June 2010)
- IMPAC program Supervisor @ Raymond James Financial Services, Inc (May 2005 - October 2007)
- Investment Representative @ (January 2004 - January 2005)
- Account Supervisor @ (January 1999 - January 2005)
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 Financial, Kestra Private Wealth Services, 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 and 4 mobile phone numbers on RocketReach.
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