David J. KowachPresident and Head of Wells Fargo Advisors
David J. Kowach is president and head of Wells Fargo Advisors. In this role, David provides leadership for one of the nation’s largest full-service retail brokerage organizations.
David has worked in the financial services industry for 25 years, the majority of which has been with Wells Fargo Advisors. Prior to his current role, David led the Private Client Group (PCG), the company’s largest business line with about 11,000 financial advisors serving clients in all 50 states.
Earlier, David was head of the Business Development Group. He also served as director of Private Client Services within PCG and held various roles within its regional management structure. Previously, David was national sales manager for Evergreen Funds. He began his career as a financial advisor in the Philadelphia area.
David is a graduate of Villanova University with a bachelor's degree in finance. He is a member of Civic Progress St. Louis and actively supports many St. Louis-area charitable organizations including the United Way and Central Institute for the Deaf. David, his wife, Kerrin, and their two daughters, live in St. Louis, Missouri.
John AlexanderManaging Director
Head of Advisor Led West
John Alexander is head of Advisor Led West at Wells Fargo Advisors. In this role, John is responsible for six regions (Midwest, Northern, Southwest, Gateway, Western, and International Private Client Services), as well as the development and execution of strategic plans and initiatives in the field. John serves on the Wells Fargo Advisors Operating Committee.
John has worked in the financial services industry for 24 years, the majority of which has been with Wells Fargo Advisors. Most recently, he served as the director of Private Client Group (PCG) Strategies and Channel Development. In this role, John designed and implemented strategies to help improve financial advisor productivity, gain market share, and improve operating results. Previously, John held various positions at Wells Fargo Advisors in both the home office and branch and regional management. He began his career as a financial advisor in Dallas, Texas.
John attended Texas A&M University in College Station, Texas and received a bachelor’s degree in Accounting. He holds Series 7, 9, 10, 63 and 65 securities registrations. John, his wife, Carrie, and their daughter live in St. Louis, Missouri.
Kathy BarneySenior Vice President Group Finance Officer
Kathy Barney is group finance officer at Wells Fargo Advisors. Kathy leads a team of 160 people charged with accounting controls, regulatory reporting, financial analysis, management reporting, treasury, supplier planning & integration and all business unit financial teams. She supports and advises senior management in the improvement of short- and long-term performance of the firm. She also provides analytical support required to enhance understanding of financial and operating results, the decision making process and the effective evaluation of progress in achieving tactical and strategic initiatives. Kathy sits on the Wells Fargo Advisors Operating Committee.
Kathy joined Wells Fargo Advisors in February 2013. Prior to joining the firm, Kathy was the president and chief executive officer of H&R Block Bank. Earlier, she served as chief financial officer and later as president of Generations Bank.
Kathy earned her master’s degree in accounting from the University of Missouri-Kansas City and a bachelor’s degree in business administration from Baker University in Baldwin, Kan. She passed the CPA examination and holds a series 27 securities registration. Kathy is active in her community, serves on the board of Nine Network, and is currently co-chair for the WFA Community Support Campaign.
Cindy BucklerSenior Vice President Chief Information Officer, Brokerage Technology
Cindy Buckler is senior vice president and chief information officer of Brokerage Technology at Wells Fargo Advisors. Cindy is responsible for all aspects of technology support for the Wells Fargo Advisors’ line of business. She sits on the Wells Fargo Advisors Operating Committee.
Cindy joined Wells Fargo in 1996. Prior to her current role, she was chief technology officer, supporting Wells Fargo Advisors, providing technology solutions for the firm’s back office, compliance, Retail Retirement and digital systems, and held accountability for client reporting, Wealth Investment Management (WIM) Governance, release implementation and reporting functions for large, multi-disciplined programs that impact Wells Fargo Advisors and WIM. Prior to joining Wells Fargo, Cindy managed a large trust platform for Broadway and Seymour. She began her financial services career at Meridian Bancorp, working as a bank branch manager and then as operations and technology manager.
Cindy has a bachelor’s degree in economics and management from Hood College. She currently lives in Richmond, Virginia.
Kent ChristianPresident, Wells Fargo Advisors Financial Network
Kent Christian is president of Wells Fargo Advisors Financial Network and is responsible for setting the strategic direction for the management, satisfaction, retention and organic growth of the firm’s independent financial advisor business. He sits on the Wells Fargo Advisors Operating Committee.
Kent joined Wells Fargo Advisors in 2005 as president of the Independent Brokerage Group and later served as president of the Financial Services Group. Before joining the firm, Kent was the national sales director for Raymond James Financial in St. Petersburg, Florida. Earlier, he was executive vice president of Sales and Marketing for Plan Member Financial Corporation in Santa Barbara, California. Kent started his professional career with Bank of America Corporation where he served in various leadership and management capacities in capital markets, retail securities and private banking.
Kent is a graduate of Duke University with a degree in economics. He is a board member for the Financial Services Institute. Kent has also served on the executive committee and board of directors for the Securities Industry and Financial Markets Association (SIFMA). He is a prior board member of the United Way of Greater St. Louis and the United Way of Greater Richmond and Petersburg. Kent holds Series 7, 24, 53 and 63 registrations.
Rich GetzoffManaging Director
Head of Advisor Led East
Rich Getzoff is head of Advisor Led East at Wells Fargo Advisors. In this role, Rich is responsible for six regions (New England, Metro Northeast, Southern, Eastern, Florida and Mid America), as well as the development and execution of strategic plans and initiatives in the field. Rich serves on the Wells Fargo Advisors Operating Committee.
Rich joined Wells Fargo Advisors in 1998. Most recently, he served as a regional president for the firm’s Eastern Region. Previously, Rich held various positions at Wells Fargo Advisors in branch and regional management. He began his career as a financial advisor in Jenkintown, Pennsylvania.
Rich attended Trinity College in Hartford, Connecticut and received a bachelor’s degree in political science. He holds Series 3, 7, 9, 31, 63 and 65 securities registrations. Rich and his wife, Stefanie, live in New Jersey with their three children.
Jim HaysExecutive Vice President Head of Wealth Brokerage Services
Jim Hays is head of Wealth Brokerage Services (WBS), the division of Wells Fargo’s brokerage business that is aligned with the company’s Wealth Management Group. WBS includes more than 3,200 Financial Advisors. In that capacity, Jim provides executive leadership and engages team members in collaborations within and across the Community Bank and Wells Fargo. He sits on the Wells Fargo Advisors Operating Committee as well as the Wealth Management Executive Committee.
Prior to his current role, Jim was president of the Private Client Group at Wells Fargo Advisors. Previously, Jim held a variety of leadership positions at Merrill Lynch including managing director and head of Private Banking and Investment Group, Merrill Lynch Trust, and Family Office; head of Training and Leadership Development Group; managing director - Silicon Valley Complex; district manager - Northern New Jersey; and producing sales manager. In addition to working as a financial advisor with Merrill Lynch, Jim was also a partner and co-founder of Hays Financial Group/Investment bank and an associate at Coopers and Lybrand Consulting.
A 1985 graduate of the University of Virginia with a degree in finance, Jim is also active in the community and serves on the board of the San Francisco Zoo. Previously, he held leadership positions with the St. Louis Sports Commission (2011), Shakespeare Fest (2010), the United Way (2006-2007), Canal Walk (2007), Chairman of Private Client Committee of Securities Industry and Financial Markets Association (2003-2005), and the Institute for Private Investors (2001-2006).
Mark W. HubbertChief Risk and Credit Officer
Mark Hubbert is the chief risk and credit officer for Wells Fargo Advisors, where he has responsibility for managing all risks associated with new products and public offerings, market and trading risk, technology risk, credit risk, operational risk, business continuity planning, and Basel reporting. Mark sits on the Wells Fargo Advisors Operating Committee.
Prior to becoming the chief risk and credit officer for Wells Fargo Advisors, Mark served as the managing director and chief operating officer for the Wealth Brokerage Services division of Wells Fargo Advisors. He held a similar role with Wachovia Securities prior to the Wells Fargo acquisition of Wachovia, where his responsibilities included operations and technology support, centralized supervisory functions, project management and strategic initiatives, including the Wells Fargo Investments merger integration.
Previously, Mark was president of First Fidelity Brokers, Inc. He also spent nine years with Citigroup in senior positions managing retail brokerage operations and compliance and as president of Citicorp Select Investments.
Mark graduated with a B.A. in business and economics from Colby College and holds an M.B.A. from Columbia University.
Heather Hunt-RuddyManaging Director
Head of Client Experience and Growth
Heather Hunt-Ruddy is head of Client Experience and Growth at Wells Fargo Advisors. A core element of her role is the development of not only client relationships, but the field leaders who help bring the Wells Fargo Advisors vision and values to life.
Heather believes our advisors must be empowered to support all of clients’ needs, particularly in an environment that changes as frequently as financial services does. Our industry is constantly evolving, and the ability to pivot and adapt is more important now than ever. As the firm navigates these changes, Heather’s team remains focused on one very simple tenet: ensuring Wells Fargo Advisors is the best home for our clients and advisors.
Heather was born in the St. Louis area and raised in central Illinois, and was happy to return as Regional President, Gateway Region for three years before accepting the role of Head of Client Experience and Growth in 2017. Prior to this role, Heather held management positions at Wells Fargo Advisors offices in Detroit, Pennsylvania, Virginia and Ohio.
Committed to the development of our financial advisors and team members, Heather chairs the Talent Identification Committee, as well as co-chairs the Women’s Summit and the Women’s Managers Forum at Wells Fargo Advisors.
Heather received a bachelor’s degree from DePaul University and is a graduate of the Securities Industry Association (SIA) Institute at Wharton. She holds Series 3, 7, 24, 65, 9 and 10 securities registrations.
Outside of work, nothing means more to Heather than family. She has been married for over 20 years and is a proud mother to three children.
Erik KaranikManaging Director
Head of Operations and Branch Infrastructure
Erik Karanik is head of Operations and Branch Infrastructure at Wells Fargo Advisors. In this role, he is responsible for the day-to-day functions of the front-, middle- and back-office operations. Erik also leads the design and implementation of branch manager and financial advisor compensation plans, and oversees the due diligence related to hiring experienced financial advisors, and developing the firm’s strategy around financial advisor teams and succession plans. Erik is also responsible for the management of the real estate footprint for the retail branch network. He sits on the Wells Fargo Advisors Operating Committee.
Erik joined Wells Fargo Advisors in 1990. Prior to his current role, he was the director of national operations where he led branch manager and financial advisor compensation, including design, communication and implementation, overseeing the agreements related to hiring experienced financial advisors, client transition agreements for retiring financial advisors, and financial consultant agreements. In this role, Erik also had responsibility for operations and technology for the retail branch system. Earlier, he held various roles in Financial Analysis and Planning, Management Reporting, Strategic Initiatives, and Project Management.
Erik earned his bachelor’s degree in business administration from Villanova University. He currently serves on the Board of Directors for Saint Louis ArtWorks and is the executive sponsor of the Wells Fargo Advisors PRIDE Team Member Network. Erik and his wife, Alexis, live in St. Louis.
Doug KellySenior Vice President Assistant General Counsel
Doug Kelly is assistant general counsel at Wells Fargo Advisors, supporting retail brokerage. He also sits on the Wells Fargo Advisors Operating Committee.
During his 22-year career with the firm, Doug has held a variety of leadership positions, including executive vice president, chief financial officer, treasurer, corporate secretary, director of the administration, director of Law and Compliance. Before joining the company, Doug was with a law firm practicing in the areas of security and corporate law.
Doug has served on the NASD National Adjudicatory Council, including serving as the chair of the council. He also served on the board of directors of the National Association of Securities Dealers, Inc., NASD Regulation, Inc., National Arbitration and Mediation Committee of the NASD and the District Business Conduct Committee of District 4 of the NASD. Doug is a member of the Executive Committee of the SIFMA Compliance and Legal Society.
Doug graduated from the University of Colorado with a bachelor’s degree in finance and received his juris doctor degree from Washington University School of Law in St. Louis.
Jim McHaleSenior Vice President Chief Compliance Officer
Jim McHale is the chief compliance officer of Wells Fargo Advisors. In this role, Jim leads the compliance function for Wells Fargo’s retail brokerage business, including responsibility for retail compliance, products and regulatory compliance, regulatory affairs, internal controls, and compliance implementation. Jim sits on the Wells Fargo Advisors Operating Committee.
Jim joined Wells Fargo Advisors in October 2014. Previously, he was the global head of brokerage compliance for E*TRADE Financial Corporation, where, among other responsibilities, he helped design and implement an enterprise compliance program consistent with the expectations of the federal banking regulators. Prior to E*TRADE, Jim served as managing director and associate general counsel with the Securities Industry and Financial Markets Association (SIFMA), where he led advocacy efforts on proposed rules and regulations issued by the SEC, CFTC and FINRA, including several Dodd Frank Act implementation initiatives. Jim was also a member of the SIFMA working group responsible for updating SIFMA’s White Paper: “The Evolving Role of Compliance” (March 2013).
Earlier in his career, Jim was associate general counsel with E*TRADE, an associate in the Securities Industry Practice Group of the law firm of Morgan, Lewis & Bockius and prior to that served as special counsel with the U.S. Securities and Exchange Commission’s Division of Trading and Markets.
Jim holds a J.D. from the University of South Carolina School of Law and a bachelor’s degree from the University of South Carolina School of Business Administration. He is a frequent speaker on legal and compliance topics impacting the securities industry. Jim and his wife, Angela, live in St. Louis with their three children. Jim is on the Board of the St. Louis Regional Chamber of Commerce.
Brand MeyerSenior Managing Director
Brand Meyer is a senior managing director for Wells Fargo Advisors and has held numerous executive positions over his long tenure with the company. Currently, Brand has responsibility for overseeing all business decisions related to the Department of Labor’s fiduciary standard rule, ensuring those decisions balance the needs of clients with the rule requirements. He sits on the Wells Fargo Advisors Operating Committee.
Prior to his current role, Brand served as head of the Independent Brokerage Group where he was responsible for the firm’s independent brokerage business and its correspondent clearing business (First Clearing). He previously served as president of the Financial Services Group where he was responsible for all aspects of the firm’s platform that supported the needs of its Financial Advisors and clients, including investment products, trading capabilities, planning functionality and asset allocation driven advice for clients.
His 46-year career has included affiliations with predecessor firms to Wells Fargo, including EVEREN Securities and Prescott, Ball & Turben. During that time, he held a number of different leadership positions for the company, including regional president for the Private Client Group, director of Retail Branches, director of Branch Administration and chief compliance officer.
Brand is a native of Cleveland, Ohio and attended Carnegie Mellon University in Pittsburgh, Pennsylvania. He represents Wells Fargo as a member of the board and the executive committee for the Securities Industry and Financial Markets Association (SIFMA), the industry’s leading trade group that represents securities firms, banks and asset management companies. Brand is based out of Boca Raton, Florida where he lives with his wife Pam and their two children, Griffin and Jaden.
Joe NadreauManaging Director Innovation and Strategy Group
Joe Nadreau is the managing director of the Innovation and Strategy Group at Wells Fargo Advisors, responsible for the continuing evolution of the business platforms for the firm’s Financial Advisors and clients. Joe also sits on the Wells Fargo Advisors Operating Committee.
Joe has worked in the financial services industry for over 20 years. He joined Wells Fargo Advisors in 1999 as the firm’s chief e-commerce officer and continues to position the firm’s overall business platform and investment process to meet the strategic goals of the organization. Prior to joining the firm, Joe worked for the IBM Consulting Group as a senior business strategy consultant, at PaineWebber as an internal consultant/auditor, and as a capital markets officer/trader at Chase Securities.
Joe attended Penn State University and earned a dual bachelor’s degree in finance and international business. He received his MBA in finance from New York University’s Stern School of Business. He is on multiple nonprofit boards in the St. Louis community and served as the chairman of the WFA United Way campaign. He is also the executive sponsor of the WFA Veterans’ Team Member Network. Joe holds FINRA Series 7 and 24 registrations and is a member of the FINRA Tech Advisory Committee.
JoAnn NeauSenior Vice President
Director of Marketing
JoAnn Neau is director of Marketing for Wells Fargo Advisors. She leads the team that provides strategic marketing counsel and support to the firm’s product groups, sales/support channels and regions. JoAnn sits on the Wells Fargo Advisors Operating Committee.
JoAnn has more than 20 years of experience in the financial services industry. She joined Wells Fargo in 2014 as the head of Marketing for Abbot Downing, a Wells Fargo business catering to ultra-high-net-worth clients. Prior to joining Wells Fargo, she spent 13 years with RBC Wealth Management. There she led marketing and communications for the wealth management business in the United States and was also responsible for the digital channel strategy for the global wealth management platform. Previously, JoAnn held positions with U.S. Bancorp and Securian Financial.
JoAnn earned her M.B.A. from the Carlson School of Management at the University of Minnesota in Marketing and Finance. For the past nine years, she has served on the board of trustees for the Securities Industry and Financial Markets Association’s (SIFMA’s) Securities Industry Institute at the Wharton School at the University of Pennsylvania. In addition, JoAnn is on the board of directors of Project SUCCESS, a nonprofit organization focused on improving the educational experiences of inner city middle and high school students. JoAnn is also a member of the board of directors of Meet Minneapolis, the nonprofit organization for the Minneapolis convention and visitor’s association.
John ParkerExecutive Vice President Head of Services and Operations
John Parker is head of Services and Operations at Wells Fargo Advisors. In this position, John provides operational support for Wells Fargo Advisors and all Wells Fargo businesses that leverage brokerage services through the brokerage operations, middle-office, securities lending, project and professional business services functions that report to him. In addition, he chairs the firm’s Business Technology Oversight Committee.
John’s role includes similar responsibilities with First Clearing which provides technology and brokerage-clearance services to Wells Fargo Advisors and over 80 retail securities firms throughout the United States. He also sits on the Wells Fargo Advisors Operating Committee and the First Clearing board of directors.
John joined the firm in 2001 as chief information officer and president of the Technology Group. In those roles, John was responsible for establishing and executing the IT strategy and directing all of the firm’s IT activities. Previously, John served in the airline industry where he progressed through positions in which he built and led both business and technology organizations, ultimately holding the role of chief information officer for Northwest Airlines.
John earned his master’s degree in business administration from Georgia State University in Atlanta. He is active in his community and within the industry, has served as Chairman for Wells Fargo Advisors' United Way campaign, and is Executive Sponsor of the Women’s Team Member Network. John holds FINRA Series 7, 24 and 27 securities registrations.
Bob VorlopHead of Products and Advice
Bob Vorlop is the head of Products and Advice at Wells Fargo Advisors. In this role, Bob is responsible for the strategic direction and management of Investment and Advisory Products, Lending and Banking Services, Advice, Financial Advisor Recruiting, and Financial Advisor & Branch Manager Development and Retention. He also sits on the Wells Fargo Advisors Operating Committee and serves as Chairman of the firm’s New Product Commitment Committee.
In his 30 years of service with the firm, Bob has held a variety of leadership positions, including the director of Alternative Investments and director of Sales for the Financial Services Group. For the past four years, Bob has served as the head of Investment and Advisory Products. He began his career as a financial advisor with Dean Witter.
Bob is a Texas A&M University graduate with a bachelor’s degree in electrical engineering. He is also a graduate of the Securities Industry Institute at the University of Pennsylvania’s Wharton School. Bob is a frequent speaker at financial industry events and holds Series 7 and 24 securities registrations as well as a life/health insurance license. Bob and his wife, Fran, live in St. Louis, and they have three sons.