Mike Pearson

Chief Compliance Officer

Mike Pearson 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 Compliance Program, including 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 our business and new regulatory rulemaking, 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 over 27 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.

Education

BA, Rowan University/Law & Criminal Justice

Experience

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

Community involvement

United Military Care

Little Helpers

Q&A

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.

"Lorem ipsum dolor sit amet, consectetur adipiscing elit. Suspendisse varius enim in eros elementum tristique. Duis cursus, mi quis viverra ornare, eros dolor interdum nulla, ut commodo diam libero vitae erat."

Read recent posts from 

Mike Pearson

Learn more about 

Mike Pearson

 perspective on the market, Balentine, and more.

Browse our collection of resources from trusted thought leaders.

Balentine experts offer their authentic take on the latest financial topics, including more information about protecting your family’s future.

Currently no Blog Posts from this Team member. Check our Insights Page >
Legacy
Private capital
Planning
Institutional
Investments
Global economy and markets
Business advisory