Michael Pagano, JD, CRCP

Executive Vice President, Compliance, Legal and Risk Assessment

Mike Pagano is the executive vice president of the Compliance, Licensing and Risk Assessment departments at 1st Global, where he works with the company and its affiliated financial advisors to provide regulatory compliance oversight, strategies and management. Included in his responsibilities are the supervision of the Compliance, Licensing and Risk Assessment departments’ staff members; performing due diligence; handling regulatory audits; and maintaining overall corporate quality assurance.

Mike has been with the company since 2001 and also has experience in compliance leadership roles at previous companies, including GE Financial Assurance, WS Griffith & Co., Inc. and Polaris Financial Services, Inc. In these roles, he gained extensive experience in working with FINRA, SEC and insurance industry regulation. He enjoys enhancing the quality of service provided to 1st Global financial advisors and the products we offer and helping to ensure investors better understand those products and services they obtain from us.

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 his Series 4, 7, 24, 53, 63 and 65 exams.