Compliance Manager at World Investment Advisors (formerly Pensionmark)
📍 Pflugerville, Texas, United States
Nate Louderback is an experienced Compliance Manager specializing in FINRA/SEC rules within the Independent Broker-Dealer industry. He leverages strong analytical and project management skills to mitigate firm risk. He holds an MBA from Bellevue University and an extensive set of Series 4, 7, 24, 53, and 66 licenses.
He possesses an impressive array of five key financial industry licenses.
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Experience
22 Years
Current Role
Compliance Manager
Job Level
Middle
Location
Pflugerville, Texas, United States
Personality Overview
How Nate shows up
Informal
Believer
Big Picture Person
They are not always early adopters but can be pursuaded by leveraging strong relationships. They are always positive and upbeat, so take their promises 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 Nate cares about
Financial Compliance
His career is centered on compliance functions, focusing on FINRA/SEC rules and regulatory inquiries in the financial security industry.
Risk Mitigation
A core competency is applying analytical skills to inform management of key trends and reduce overall risk exposure for the firm.
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Career
Work history
11-2024
Compliance Manager
World Investment Advisors (formerly Pensionmark)
3-2024 - 11-2024
Sr Compliance Officer
StevenDouglas
8-2022 - 3-2024
Senior Regulatory Analyst
Kestra Financial
6-2020 - 9-2022
AVP Sr. Compliance Officer
Bank of the West
3-2015 - 5-2020
Senior Analyst Client and Requlatory Inquiry Group
Securities America Inc.
In the press
Media appearances
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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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