David M. Williams

Chief Compliance Officer, Retail Compliance & Senior Vice President, Wells Fargo Advisors

David Williams is currently SVP and Chief Compliance Officer for Retail Compliance at Wells Fargo Advisors, LLC based in St Louis, Missouri. David has overall responsibility for the development and execution of the retail compliance oversight program for the firm’s major business channels: the Private Client Group, Wealth Brokerage Services, WFA Financial Network, LLC and the International Private Client Services.  His responsibilities include the core compliance functions of Surveillance, Branch Exams, Retail Advice, Investigations, Registration and Employee Activities.