Kestra Financial
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- Compliance Team
Compliance Team
About
The Compliance Team at Kestra Financial ensures adherence to regulatory standards and internal policies across all business practices. They oversee the compliance programs for the firm's registered investment advisors (RIAs), monitor advertising materials for compliance, conduct branch examinations, and provide strategic guidance to promote legal and regulatory integrity within the organization.
Team members
CT
Christy Trudeau
Senior Analyst Advertising Com...
DB
Dewey B.
Director Of Compliance
Jason R. White
Senior Compliance Analyst
Matthew Johnson
Director, Advertising Complian...
Mike Cortez
Manager, Branch Examinations
Mike Pedlow
EVP & Chief Compliance Officer
Tom Delaney
Svp, Compliance Services
Travis Atkins
Manager, RIA Compliance
Other teams at Kestra Financial
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