Nate Louderback

Energizer
DISC Type : I

Compliance Manager at World Investment Advisors (formerly Pensionmark)

Pflugerville, Texas, United States

Overview

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.

Personality Overview

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.

Topics They Care 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.
Broker-Dealer Operations
He has practical experience and deep familiarity with compliance functions specifically within the Independent Broker-Dealer segment.

Media Appearances

Nate has no verified media appearances

Work History

11-2024
Compliance Manager at World Investment Advisors (formerly Pensionmark)
3-2024 - 11-2024
Sr Compliance Officer at StevenDouglas
8-2022 - 3-2024
Senior Regulatory Analyst at Kestra Financial
6-2020 - 9-2022
AVP Sr. Compliance Officer at Bank of the West
3-2015 - 5-2020
Senior Analyst Client and Requlatory Inquiry Group at Securities America Inc.

Education

2007 - 2009
MBA from Bellevue University
2002 - 2003
M.A. from New York University

More Information

Social Presence :

Prographics :

Exp : 22 Location : Pflugerville, Texas, United States Job Level : Middle Designation : Compliance Manager at World Investment Advisors (formerly Pensionmark)
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Insights For Selling To Nate

During A Call Or A Meeting

DO's

  • Use phrases like ‘people will love’, ‘massive impact’ etc.
  • Be friendly and entertaining in your conversation
  • Talk anecdotally about the customer experience that your product offers

DONT's

  • Avoid ifs and buts, don’t talk too much about the risks etc.
  • Don’t assume a yes just because they have not said no
  • Avoid overloading them with too much detail

When Cold Calling

When Writing An Email

While Negotiating & Closing

    The secret to closing fast with Nate is

  • Relationship and rapport can play an important role, sometimes more than the other factors.
  • Will you ever get a clear answer from Nate

  • They will probably never say no directly, you have to make that decision yourself.

Insights For Deal Planning

    How fast (or slow) will Nate move?

  • They are not the quickest decision makers, their friendly attitude could be misleading.
  • Can Nate take some risk or not?

  • They can accept limited risks, ones that they think will not impact them personally.

You And Nate

Personality Compatibility


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