Mike Nicholson

Director of Internal Controls , Wells Fargo Clearing Services, LLC

 

 

 

 

MIKE NICHOLSON is a Senior Vice President with Wells Fargo Advisors serving as the Director of Internal Controls. His team is responsible for compliance related testing and tracking of regulatory issues, compliance training, home office policies and procedure management along with various governance and reporting programs. Mike served in a similar role for Wachovia Securities and was Vice President at A.G. Edwards, since joining the firm in 2005, serving as the Director of Internal Audit. Prior to joining the firm, Mike was Director of Internal Audit and subsequently Chief Compliance Officer with Stifel Financial. Mike also held a leadership position in the operations division of Edward Jones and was a manager with Deloitte & Touche, LLP focusing on financial services clients. Mike received his B.S. in accounting from the University of Illinois. He is a CPA (inactive) with FINRA series 7, 14, 24, and 63 licenses.