Mike Pedlow in

Mike Pedlow

Energizer · DISC type I
EVP, Chief Compliance Officer at Kestra Financial
📍 Austin, Texas Metropolitan Area, United States

Mike Pedlow is the EVP and Chief Compliance Officer at Kestra Financial, where he leads all compliance efforts for the independent financial services firm. An experienced finance professional, he specializes in risk management, FINRA regulations, and securities. He holds a Bachelor of Arts in Economics from the University of South Florida.

He is a two-time recipient of the Stephen R. Kareta Excellence in Advocacy Award from the Financial Services Institute.

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Experience
20 Years
Current Role
EVP, Chief Compliance Officer
Job Level
Leadership
Location
Austin, Texas Metropolitan Area, United States
Personality Overview

How Mike shows up

Informal
Big Picture Person
Enthusiastic

They are people oriented, friendly and like creating new connections. They are naturally enthusiastic, so take their promise with a pinch of salt. Unlike C or D types, they are vocal with their opinions but not so much with their questions.

Priorities

Topics Mike cares about

Financial Services Advocacy
Recognized multiple times by the Financial Services Institute (FSI) for his dedication to advocating for independent financial professionals and Main Street investors.
AI for Advisors
He recently shared Kestra's partnership with an AI firm to enhance advisor efficiency and has participated in industry panels discussing AI regulation and implementation.
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Career

Work history

2-2020
EVP, Chief Compliance Officer
Kestra Financial
6-2015 - 2-2020
SVP, Chief Compliance Officer
Kestra Financial
8-2014
Chief Compliance Officer
Kestra Private Wealth Services
6-2010 - 6-2015
VP, Investment Advisory Compliance Officer
NFP Advisor Services, LLC.
10-2007 - 6-2010
RIA Compliance Officer
Raymond James Financial Services
In the press

Media appearances

FSI Names Kestra's Mike Pedlow an Advocacy Circle of Excellence. Featured in Kestra Financial Newsroom
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Education
1992 - 1997
BA
University of South Florida
Social presence
in
Behavioral profile

DISC profile (public)

I

Influence (I)

Influence (I) reflects the degree to which a person prefers to work by influencing or persuading others. Those scoring high tend to be people oriented, motivated by social recognition and building relationships.

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