Michael Pearson

Mike serves as the firm's Chief Compliance Officer. In this role, Mike is responsible for leading an effective culture of compliance within the firm. He is responsible for maintaining and administering the RIA Compliance Program pursuant to Securities and Exchange Commission (SEC) standards, which includes maintaining policies and procedures, performing testing, and executing various regulatory filings. With the ever-increasing complexities of our business and new regulatory rule making, Mike is also charged with organizing and maintaining proper record-keeping of all policies, filings, and certifications required.

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 nearly 30 years of RIA and Broker Dealer compliance and operations experience, Mike is part of Balentine's leadership team and will ensure that the compliance programs throughout the organization are implemented in accordance with the firm's operations.

1e. IA/PF – Regulatory Filings: Requirements, Pitfalls and Best Practices (Intermediate - OPEN)