WIM Director of Social Media and Communications Compliance
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An Industry thought leader and subject matter expert on impact of social media within brokerage who brings together business partners from different areas to build single solutions, and a manager who successfully grows critical skill within a diverse talent pool. Leads and provides oversight for Mass, Digital and E- communications for the Firm’s traditional, bank brokerage, independent and clearing broker dealer dual registrants. He has been in the Industry for over 20 years, beginning with Prudential Bache Securities. He is an active participant in industry groups, is currently appointed to the FINRA Public Communications Committee and has been a member on various FINRA taskforces including Social Media. He has represented the Firm as an industry expert on social media and registered representative communication practices at industry conferences, and also is an instructor at Wells Fargo Advisors University. In addition to communication related issues, he provides guidance on Investment Advisory subjects such as performance, testimonials and third party rankings, as well as Books and Records issues.
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