Mike Pedlow is the next chief compliance officer (CCO) for NFP Advisor Services, an advisory network providing wealth management solutions, integrated technology and business consulting, including compliance services, to independent financial advisers.
In his new role, Pedlow is charged with supervising all compliance efforts and leading the compliance management team at NFP Advisor Services. He takes on the role after serving as vice president and investment advisory compliance officer. The new role involves supporting compliance for product development, training, marketing and advertising.
Pedlow has more than 15 years of experience in the financial services industry, according to NFP. Additionally, he serves as the CCO of Washington Wealth Management LLC, an affiliate of NFP Advisor Services that also operates a recruiting platform for advisers transitioning to the independent model from wirehouses.
Before joining NFP Advisor Services, Pedlow worked at Raymond James, supervising the registered investment adviser (RIA) compliance program. He holds his FINRA Series 7, 66 and 24 licenses. He also holds a bachelor’s of arts degree in economics from the University of South Florida.