Mike Pagano, Vice President, Compliance
Mike Pagano is Vice President and Chief Compliance Officer of Avantax Investment Services℠ and Avantax Advisory Services℠. Mike has more than 25 years of financial services industry experience, including serving as Executive Vice President of the Compliance, Licensing and Risk Assessment departments at 1st Global, which became part of Avantax after being acquired by Blucora, Inc., in 2019.
Mike has spent a significant part of his career working with the company and its affiliated Financial Professionals and their firms to provide support deeply rooted in Compliance governance, surveillance and supervision, risk management, technology, regulatory oversight, and corporate strategy.
Mike leads a team of more than 65 Compliance and Supervisory specialists empowered to help Financial Professionals adhere to policies and procedures that are reasonably designed to achieve continued compliance with applicable laws and regulations as determined by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state securities commissions, and various other regulatory bodies.
Mike has been a Compliance leader at other companies, including GE Financial Assurance, WS Griffith & Co., Inc., and Polaris Financial Services, Inc. In these roles, he gained significant experience working with the SEC, FINRA and state regulators.
Mike received his Bachelor of Science degree in Marketing from the University of Connecticut, and his Juris Doctor degree from the University of Miami School of Law. He has passed the Series 4, 7, 24, 53, 63 and 65 exams.