Mike Pedlow. As Chief Compliance Officer for Kestra Financial and Kestra Private Wealth Services, Mike directs all aspects of Compliance to ensure alignment with regulatory policy, while helping independent financial professionals meet the expectations of regulators as they conduct their day-to-day business.

With a rigorous approach backed by significant experience across corporate and capital markets transactions, Mike Pedlow brings broad perspective to his work alongside clients in their most important transactional and securities matters.

Aug 28, 2024 · Kestra Financial is proud to share that Chief Compliance Officer, has been named a 2024 Advocacy Circle of Excellence Honoree on behalf of the Financial Services Institute (FSI). Pedlow was also one of three people to win the Stephen R. Kareta Excellence in …

Mar 18, 2020 · Read insights from Mike Pedlow, Kestra's Chief Compliance Officer. Learn expert strategies in financial compliance.

As chief compliance officer for Kestra Financial and Kestra Private Wealth Services, Mike directs all aspects of Compliance to ensure alignment with regulatory policy, while helping independent financial advisors meet the expectations of regulators as they conduct their day-to-day business.

Michael Pedlow is a financial advisor based in Austin, Texas, working with Kestra Advisory Services, LLC. Michael has previously held positions at Nfp Securities, Inc, H. Beck, Inc, Kestra Advisory Services, LLC, and Kestra Investment Services, LLC.

With a rigorous approach backed by significant experience across corporate and capital markets transactions, Mike Pedlow brings broad perspective to his work alongside clients in their most important transactional and securities matters.

Mike Pedlow is currently Senior Vice President and Chief Compliance Officer at Kestra Financial - View - Kestra Financial org chart. Create your alert to follow the career of Mike Pedlow.

About Mike Pedlow Mike Pedlow is an Executive Vice President & Chief Compliance Officer at Kestra Financial based in Austin, Texas. Previously, Mike was a Chief Com pliance Officer at Kestra Private Wealth Services and also held positions at Kestra Financial, NFP Advisor Services, Raymond James, Edward Jones, Capital One. Mike received a ...