Stephen R. Bard

Stephen R. Bard is the Chief Compliance Office for WIM Marketing and has responsibility for the review for all WIM promotional content. He has more than 30 years of experience in financial services and leads the oversight of the Firm’s communication policies and procedures for WIM’s Centers of Excellence and the Client Relationship Group. He is responsible for managing the development and implementation of a risk-based compliance program to meet federal and state regulatory requirements. In addition to communication related issues, he provides guidance on registered representative access permissions, e-tools, telemarketing, privacy, and books and records requirements. He holds numerous industry licenses including, Series 7, 8 (9/10), 14, 24, 51, 63 and 65, and currently chairs the FINRA’s Public Communications Committee; was a member of their “Social Media Taskforce” and participated in their “BrokerCheck Hyperlink Working Group”. Stephen proudly has assumed a board position as the Chapter Advisor for the Wells Fargo St Louis Asian Connection chapter.