Brian Pearce

Brian Pearce Email and Phone Number

SVP - Head of Enterprise Risk at Osaic @ Advisor Group
Brian Pearce's Location
Matthews, North Carolina, United States, United States
Brian Pearce's Contact Details
About Brian Pearce

Senior leader with extensive risk management, compliance, and regulatory experience with subject matter expertise across multiple operational functions. A proven track record of delivering effective risk and control frameworks, while supporting key business initiatives that drive process efficiencies and enhanced service for advisors and their clients. Ability to assess root cause of issues and guide business with detailed action plans to timely address control gaps and meet regulators’ expectations.Licensed: 7, 9/10, 14, 24, 55, and 66

Brian Pearce's Current Company Details
Advisor Group

Advisor Group

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SVP - Head of Enterprise Risk at Osaic
Brian Pearce Work Experience Details
  • Advisor Group
    Svp - Head Of Enterprise Risk
    Advisor Group Mar 2023 - Present
    Phoenix, Arizona, Us
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  • Lpl Financial
    Svp, Risk Management In Service, Trading, & Operations
    Lpl Financial Sep 2019 - Dec 2021
    San Diego, Ca, Us
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  • Wells Fargo Advisors
    Senior Operations Manager - Risk Management
    Wells Fargo Advisors Aug 2016 - Sep 2019
    St. Louis, Missouri, Us
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  • Wells Fargo Advisors
    Market And Operations Risk Manager
    Wells Fargo Advisors Feb 2016 - Aug 2016
    San Francisco, California, Us
    View
  • Wells Fargo Advisors
    Market Risk Manager
    Wells Fargo Advisors Aug 2011 - Feb 2016
    San Francisco, California, Us
    View
  • Wells Fargo Advisors
    Deputy Director - Trading Compliance
    Wells Fargo Advisors Mar 2007 - Aug 2011
    San Francisco, California, Us
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  • Market Regulation Department - Finra
    Manager
    Market Regulation Department - Finra Mar 2001 - Mar 2007
    Washington, District Of Columbia, Us
    View
  • Market Regulation Department - Finra
    Regulatory Analyst
    Market Regulation Department - Finra Mar 1997 - Mar 2001
    Washington, District Of Columbia, Us
    View

Brian Pearce Skills

Fixed Income Securities Lending Market Risk Trading Equities Securities Series 7 Product Management Strategy Vendor Management Management Business Analysis Cross Functional Team Leadership Business Strategy Program Management Mobile Devices Leadership Financial Services Payments Internet Banking Integration Product Development Analytics Project Management Banking Electronic Payments Sdlc Software Development Life Cycle Customer Experience Business Process Design Digital Strategy Cross Channel Information Architecture

Brian Pearce Education Details

  • The Catholic University Of America
    The Catholic University Of America
    Finance And Financial Management Services

Frequently Asked Questions about Brian Pearce

What company does Brian Pearce work for?

Brian Pearce works for Advisor Group

What is Brian Pearce's role at the current company?

Brian Pearce's current role is SVP - Head of Enterprise Risk at Osaic.

What is Brian Pearce's email address?

Brian Pearce's email address is br****@****rgo.com

What is Brian Pearce's direct phone number?

Brian Pearce's direct phone number is +131487*****

What schools did Brian Pearce attend?

Brian Pearce attended The Catholic University Of America.

What are some of Brian Pearce's interests?

Brian Pearce has interest in Children.

What skills is Brian Pearce known for?

Brian Pearce has skills like Fixed Income, Securities Lending, Market Risk, Trading, Equities, Securities, Series 7, Product Management, Strategy, Vendor Management, Management, Business Analysis.

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