Kevin A. Floyd

Experience

• 

  A.G. Edwards & Sons, Inc.

  Jun 1999 - Aug 2001

  Financial Consultant

  • Completed the firm’s sales training program to become licensed financial consultant• Conducted sales campaign to attract new clients to firm, organized retirement planning seminars and gathered in excess of ten million dollars in client assets

• 

  A.G. Edwards & Sons, Inc.

  Apr 2005 - Sept 2007

  Associate Compliance Counsel

  • Provided legal and regulatory advice to internal business units primarily on the Investment Advisers Act of 1940, but to a lesser extent on the Investment Company Act and the Securities and Exchange Act• Assisted in drafting and filing Form ADVs for A.G. Edwards & Sons (retail investment adviser), Gallatin Asset Management (institutional investment adviser) and A.G. Edwards Capital (investment adviser to private equity partnerships)• Drafted responses to regulatory exams conducted by the SEC• Negotiated advisory agreements with outside SMA managers and model providers• Formulated compliance practices for the Investment Adviser Code of Ethics Rule and Rule 202(a)(11)-1• Provided compliance guidance to sub-adviser of closed-end fund traded on NYSE (Symbol: FGB) Show less

• 

  Wachovia Corp

  Oct 2007 - Dec 2008

  Assistant General Counsel

  • Provided legal advice to the retail brokerage packaged products area, including advice on mutual funds, exchange traded products (ETFs and ETNs), Unit Investment Trusts, 529 plans, and variable annuities• Negotiated mutual fund dealer agreements, networking agreements, revenue sharing agreements and mutual fund omnibus processing agreements • Helped support the firm’s investment advisory business, including single and dual contract SMA programs, model provider programs, mutual fund wrap programs, FA directed programs, as well as financial planning • Served on firm’s Investment Advisory governance committee Show less

• 

  Wells Fargo

  Jan 2009 - now

  • Leads a team of eight legal professionals (seven attorneys and a paralegal) that support Wealth & Investment Management (WIM) Trading & Capital Markets, Operations and Digital.• The attorneys on team provide advice to the WIM equity, fixed income and options trading desks, support the core operations functions of the WIM business and advise on WIM digital offerings. The team provides advice on money movement, trade reporting, ACATs, trust operations, account opening, offshoring, books & records and WIM mobile offerings.• After taking over the team in January of 2022, partnered with the Client Relationship Group (CRG) to simplify and streamline the branch support function by centralizing decision making and helping the business make one-time business risk decisions to common issues. As part of the transformation, moved five paralegals into business support roles and moved the legal support to the CRG legal team within WIM Legal• Serves as the Wells Fargo representative on the Securities Industry and Financial Markets (SIFMA) Private Client Committee• Co-leads the Wells Fargo Legal Department Operational Excellence Strategic Pillar Show less • Led a team of 13 legal professionals (6 attorneys and 7 paralegals) that supported Wells Fargo Asset Management during a spin-out of the business into a private equity backed stand-alone firm• The team was responsible for obtaining various regulatory approvals and client consents associated with the sale transaction, including a FINRA Continuing Membership Application, the fund board of trustees approval and the preparation of change of control proxy statements.•The team also provided day-to-day support for running the business during the transition, including the creation, management, administration, governance and distribution of the Wells Fargo Funds• The team was responsible for the administration of Board of Trustee meetings, including preparation of Board materials and fund contracts and the provision of advice regarding fund governance issues• The team was responsible for the preparation, review and filing of all required fund disclosure documents including registration statements, supplements and proxies. • The team was responsible for providing legal and regulatory guidance to the groups within WFAM responsible for supporting the funds including Product Management, Investments, Fund Administration, Operations, and Compliance• The team supported Wells Fargo Funds Distributor, LLC, a limited purpose broker-dealer for fund distribution Show less • Supported the Wells Fargo Advisors Equity and Fixed Income trading desks by providing advice on SEC rules (such as Reg. M, Reg. NMS, Reg. SHO) and various FINRA and MSRB rules• Provided legal advice on capital markets issues affecting retail brokerage, including disclosure, allocation and distribution issues (e.g., FINRA Rules 5121, 5130 and 5131). Also provided advice on the firm’s medium term note (MTN) program• Provided legal advice on all aspects of the Volcker Rule• Served as primary counsel for Wells Fargo Advisors’ Commodity Futures trading desk and the Futures Credit Risk Department• Counseled the firm’s Advice and Strategy Group on legal and regulatory issues on securities research and related issues, including FINRA Rules 2241 and 2242 and Regulation AC• Negotiated CD selling group agreements, security selling group agreements, intercompany agreements and ad hoc agreements falling within business coverage area• Served as legal counsel to the retail brokerage Deal Commitment Committee, Equity Commitment Committee and Structured Products Sub-committee• Supported lower middle market M&A investment banking team Show less

  • Associate General Counsel, Executive Director

    Jan 2022 - now

  • Managing Counsel

    Nov 2020 - Jan 2022

  • Senior Company Counsel

    Mar 2020 - Nov 2020

  • Senior Counsel

    Jan 2009 - Mar 2020