Lou Moschetta

LOU MOSCHETTA is a Senior Vice President and Deputy Director of Compliance for Wells Fargo Advisors.  His responsibilities include the management of the branch office examination program for the firm’s retail brokerage businesses, supervising teams of compliance professionals that conduct over 2,000 branch office compliance exams annually. In addition, he supervises a team of compliance analysts responsible for monitoring client and employee trading for potential insider trading.  Prior to joining the firm, he was Director of Compliance Advisory Services for the Global Private Client business unit at Merrill Lynch, where his responsibilities included management of the regional compliance advisory program, retail surveillance, AML surveillance, and the development of compliance and supervisory systems.  Prior to joining Merrill Lynch, he was chief compliance officer for three affiliated broker-dealers which were subsidiaries of Fleet Boston Corporation (now Bank of America: Quick & Reilly, Inc., Suretrade, Inc. and Fleet Securities, Inc.), and also served as Financial Controller for Gabelli & Company and as Vice President of Compliance for Charles Schwab & Co.  He began his career in the securities industry as a Broker-Dealer Examiner with the U.S. Securities and Exchange Commission in New York.  He received B.S. and M.B.A. degrees from Fordham University.