Carl Tugberk

Carl Tugberk is an Executive Director and Head of Wealth & Investment Management (WIM) Regulatory Relations at Wells Fargo & Company. Carl leads regulatory engagements, including, but not limited to, regulatory examinations, supervisory meetings, information requests, and responses to regulatory findings. This includes advising senior leadership and other partners on regulatory strategy and representing Wells Fargo before regulatory agencies. He has over 18 years of experience in legal and regulatory analysis, government relations, public policy development and advocacy, risk management, strategy, and thought leadership. Carl joined Wells Fargo in January 2019 as a Senior Vice President in Government Relations and Public Policy, for which he led and coordinated the development of enterprise policy positions and advocacy strategy on issues impacting WIM, Corporate & Investment Banking, and Commercial Banking.

Prior to Wells Fargo, Carl served as Assistant General Counsel at the Municipal Securities Rulemaking Board and in various roles at the Securities and Exchange Commission, focusing on market structure, sales and trading practices, self-regulatory organization rulemaking, and SEC enforcement practices and adjudication. He began his career as a litigation attorney in private practice.

Carl earned a bachelor’s degree in Economics and Classical Civilization from Colby College, and his J.D. from American University.