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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. Working to balance the risk and reward challenges within the tightly regulated financial sector, Mike and his team actively seek to influence policy, rules, and laws that may impact advisors and their practice. Under his leadership, advisors experience a uniquely proactive, collaborative, and supportive team of consultants, including Advertising Compliance, Retirement Plan Compliance, and Firm Policy. He attributes this fresh, highly engaged approach to his years of working as an independent financial advisor.