Chief Compliance Officer
Luis Goberna is the Chief Compliance Officer of Pederson&Co and serves as the holding company’s Vice President.
Before being named Vice President in January 2023, Mr. Goberna’s focus as CCO was revising the investment bank’s monitoring systems and policies to streamline the execution of day to day compliance duties. In addition to serving as the primary advisor to Pederson&Co on its specific procedures, he also holds a supervisory role that covers all aspects of the compliance program.
Prior to joining Pederson&Co, Mr. Goberna was the second chair at Ashland Securities’ compliance group where he reported directly to the President & CCO. Some of his responsibilities included the daily review of hundreds of flagged email communications and the approval of all sales literature for the firm. Preceding his work at Ashland Securities, Mr. Goberna gained valuable experience at a variety of government organizations including the Executive Office of the Governor, and the Foreign and Commonwealth Office.
A native of Florida, Mr. Goberna attended the University of Miami where he earned a Bachelor of Business Administration degree in economics. He holds FINRA series 7, 24, 63, 79 and 99 licenses.