Kevin A. Floyd
Kevin Floyd is a Senior Counsel in the Wells Fargo Legal Department supporting Wells Fargo’s Retail Brokerage businesses. He provides legal advice related to commodity futures trading, equity and fixed income trading, capital market offerings, structured products, the Volcker Rule and securities research.
Kevin has over 16 years of securities related experience. In previous legal and compliance roles with Wells Fargo’s predecessor firms (Wachovia and A.G. Edwards), he provided legal advice related to investment companies, private equity investments and investment advisory products and services. Before law school, Kevin was a Financial Advisor with A.G. Edwards in Lexington, Kentucky. During his two years as a financial advisor, Kevin completed the firm’s FA trading program, conducted numerous retirement seminars aimed at retail investors and gathered over ten million dollars in assets.
Kevin has a J.D. degree from the University of Kentucky and a bachelor’s degree in economics and government from Centre College in Kentucky. He is a member of the Kentucky and Missouri (limited in-house) bar associations and he holds the Series 7, 66, 9, 10 and 14 securities licenses.