Richmond - Wealth Management

Kevin D. Spence

Chief Compliance Officer, Managing Director

Mr. Spence is responsible for overseeing the development and management of the enterprise wide Regulatory Compliance program.


  • Vice President, Senior Compliance Manager, HSBCManaged all Investment and Commercial Banking regulatory compliance initiatives for the Mid-Atlantic and Northeast region.
  • Vice President, Compliance Officer, Wells Fargo Advisors – Responsible for  various areas within broker dealer including, digital, licensing, rule implementation, and policy management.


  • Virginia Commonwealth University, BS, Psychology
  • Saint Louis University School of Law, JD