Mike Pearson has joined Balentine as Chief Compliance Officer. In this role, Mike is responsible for maintaining an effective culture of compliance within the firm. He devises and implements the policies and procedures that adhere to the standards of Balentine’s regulatory bodies, namely the Securities and Exchange Commission (SEC). With the ever-increasing complexities of reporting requirements, Mike is also charged with organizing and maintaining proper record keeping of all policies, filings, and certifications required, ensuring that all records can be retrieved in a timely manner if and as requested. Mike’s previous role was at Truist where he served as the Deputy Chief Compliance Officer. While in this position, he also served as Chief Compliance Officer of GFO Advisory Services (formerly known as GenSpring Family Offices). With over 27 years of RIA and Broker Dealer compliance and operations experience, Mike is part of Balentine’s management team and will ensure that the compliance programs throughout the organization are implemented in accordance with the firms operations.
BA, Rowan University/Law & Criminal Justice
- Deputy Chief Compliance Officer – Truist Advisory Services
- Chief Compliance Officer – GenSpring Family Offices
- Chief Compliance Officer – Raymond James Financial Services
Professional Affiliations & Awards
- Industry licenses: S7, S9 & S10, S24, S53 and S66
- FINRA Arbitrator
- United Military Care
- Little Helpers
Why did you choose to come to work at Balentine?
It was clear from my first interactions that Balentine is a special place and clearly puts client’s interests first and committed to high standards of integrity and ethics. It permeates throughout the entire firm.
What was your best business decision?
Taking the Chief Compliance Officer of UBS Puerto Rico role while in the early stages of my career. It provided me an opportunity to partner with and support all of the services of a full services Wealth Management Firm including, the Registered Investment Adviser (RIA). I was able to learn and further broaden my industry knowledge.
What do you like to do in your down time away from work?
Spending time with my wife and four children and all things baseball related
(coaching, umpiring, watching and even playing) in a 50+ league here in Atlanta.
Where was the most exotic place you have been?
The “Cliffs of Moher” in Ireland.
If you weren’t in this business, what would you be doing?
Be a Park Ranger.
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