Stephen R. Bard is a Senior Vice President, and Wells Fargo’s Wealth and Investment Management’s Director of Social Media and Communications Compliance. He leads the oversight of the Firm’s communication policies and procedures for their traditional, bank brokerage, and independent Broker Dealer/Investment Adviser dual registrants. With over 25 year’s industry experience, he is responsible for managing the development and implementation of a risk-based compliance program to meet federal, state, agency, legal and regulatory requirements. His team annually reviews 75,000 pieces of communications including Digital Marketing submissions from social media, mobile and e-communications.
He is currently a participant on FINRA’s Public Communications Committee; was a member of their Social Media taskforce, and participated in their BrokerCheck hyperlink working group.
In addition to communication related issues, he provides guidance on registered representative access permissions, e-tools, software, telemarketing, privacy and books and records requirements.
Stephen resides in St Louis, MO.