Michael E. Pearson

Chief Compliance Officer

Partner

Principal

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.

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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).

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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.

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Education

BA, Rowan University

Experience

Deputy Chief Compliance Officer - Truist Advisory Services

Chief Compliance Officer - GenSpring Family Offices

Chief Compliance Officer - Raymond James Financial Services

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Professional affiliations & awards

FINRA Arbitrator

Series 66 (Investment Advisor Representative)

Series 7 (inactive)

Series 9 (inactive)

Series 10 (inactive)

Series 24 (inactive)

Series 53 (inactive)

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Community involvement

United Military Care

Marcus Autism Center, Advisory Board

East Marietta Little League, Board of Directors

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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. It clearly puts client interests first and is committed to high standards of integrity and ethics. These values permeate the entire firm.

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What was the hardest lesson learned and how did you learn it?

“To know what I don’t know and be willing to admit it”. Early on in my career this was hard for me to do because I felt like I needed to demonstrate my value by having all the answers. As I gained experience and the natural wisdom that comes with it, I now understand that it actually demonstrates strength not weakness.

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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.

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Where was the most exotic place you have been?

Ireland's Cliffs of Moher

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If you weren't in this business, what would you be doing?

I would be a Park Ranger.

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