Our Team

Agard’s team is comprised of broker dealer compliance consultants and SEC registered investment adviser consultants.

Broker dealer compliance consultantsJonathan Hurd, CAMS

CEO, Compliance and Risk Management

E-mail: jhurd@asgardcompliance.com

Jon founded Asgard Regulatory Group in 2008, providing broker-dealer and investment adviser compliance consulting services clients both domestic and abroad.  Jon has expertise in broker-dealer and investment advisory regulations and is well versed in FINRA and SEC rules and regulations.  Prior to starting Asgard Regulatory Group, Jon was the Chief Compliance Officer for several financial institutions. His experience involves full-service broker-dealer, investment advisory services, bank-broker-dealers, and securitizations of mortgage-backed securities. Jon also served on the Board of Directors for many of these companies.


Broker dealer compliance consultantsEden Turner, CAMS

Associate Director, Compliance and Risk Management

E-mail: eturner@asgardcompliance.com

 

Eden has been a valuable member of Asgard since 2014, with experience in the oversight and assessment of regulatory compliance, Bank Secrecy Act / Anti-Money Laundering (AML) programs and internal controls. Since joining Asgard, she has earned the Certified Anti-Money Laundering Specialist (CAMS) Certification, performing numerous Independent AML Inspections utilizing a risk-based approach and holds the Series 14. Eden possesses knowledge in advising financial institutions in developing proactive compliance strategies and tactics with both Broker-Dealers and Investment Advisers. She has experience in remediating regulatory issues and in working with U.S. self-regulatory organizations and federal regulators, such as FINRA and the SEC.


Broker dealer compliance consultants

OLIVIA SCUTERI

Compliance Analyst, Compliance and Risk management

E-mail: oscuteri@asgardcompliance.com

 

 

 

 

 

 

Olivia joined the Asgard team in April 2018. Olivia assists in advising financial institutions in developing proactive strategies and tactics for regulatory compliance. This includes conducting trade surveillance reviews, Electronic Communication surveillance reviews, personal securities account reviews, Supervisory Control Testing (Rule 3120) and Continuing and New Membership Applications (Rule 1017). Olivia also conducts independent AML inspections which includes testing the Firm’s customer identification program, compliance with FinCEN Rule 314(a) and the efficacy of the firm’s written anti-money laundering compliance program.


Broker dealer compliance consultantsJenna Beekman

Compliance Analyst, Compliance and Risk management

Email: jbeekman@asgardcompliance.com

 

 

 

 

 

 

Jenna joined the Asgard team in October 2018. She assists in advising financial institutions in developing proactive strategies and tactics for regulatory compliance. This includes conducting trade surveillance reviews, electronic   communication   surveillance   reviews, personal   securities   account   reviews, and   Supervisory Control Testing under FINRA Rule 3120.


Frank Martorana

Senior Regulatory Advisor

fmartorana@asgardcompliance.com

 

 

 

Frank Joined the Asgard team in July, 2020.  Frank will be responsible for implementing compliance and risk management programs for our broker-dealer and investment adviser clients. He will also serve in the role of Chief Compliance Officer for select clients.  Frank has expertise in broker-dealer and investment advisory regulations and is well versed in FINRA and SEC rules and regulations.  He holds the FINRA Series 6, 7, 14, 24 and 63 licenses.

Frank has experience with all aspects of developing a compliance program, including the oversight, review, and testing of the the firms business lines, branches, personnel and procedures to ensure compliance with FINRA, SEC and federal securities laws and applicable regulations.  Identifying apparent gaps in firm procedures and creating corrective implementation strategies, which includes handling Form U4, Form U5, Form BD, continuing education, outside business activities, gift & gratuity logs, review of personal trading accounts, review of marketing material, review of electronic correspondence, social media, reviews for KYC AML, FINCEN and OFAC and handling inquiries from regulatory agencies.  Frank is also experienced with the FINRA research analyst rules and conducting reviews for conflicts of interest, material non-public information, Chinese Wall, Information Barriers, disclosure reviews and compensation. Prior to joining Asgard, Frank was the Chief Compliance Officer for several financial institutions. Frank also spent 14 years at FINRA where he identified underlying causes of apparent regulatory violations and created corrective implementation strategies for member firms.


Sean reddy

Compliance Associate

email: sreddy@asgardcompliance.com

 

 

 

 

 

Sean joined the Asgard team in July 2020. He assists in advising financial institutions in developing proactive strategies and tactics for regulatory compliance. This includes conducting electronic   communication   surveillance   reviews, personal   securities   account   reviews, and   assisting with Supervisory Control Testing (Rule 3120) and  independent AML inspections.

Sean assists in preparing new client files, maintaining client relations, drafting securities registrations and terminations, drafting Form BD/BR amendments and launching Firm Element Continuing Education Programs.


Abbey Mirelli

Compliance Associate

EMAIL: amirelli@asgardcompliance.com

Abbey joined the Asgard team in July 2020. She assists in advising financial institutions in developing proactive strategies and tactics for regulatory compliance. This includes conducting electronic   communication   surveillance   reviews, personal   securities   account   reviews, and   assisting with Supervisory Control Testing (Rule 3120) and  independent AML inspections.

Abbey assists in preparing new client files, maintaining client relations, drafting securities registrations and terminations, drafting Form BD/BR amendments and launching Firm Element Continuing Education Programs.


Adriana Piltz

Senior Regulatory Advisor

E-mail: apiltz@asgardcompliance.com

 

Adriana joined Asgard as Senior Regulatory Advisor in September of 2017.  She comes to Asgard with over twelve years of experience in financial industry with expertise in Compliance, Operations and Capital Markets.  Most recently she was President/ Board Member of Merriman Capital where she was responsible for all of the firm`s broker dealer operating functions, compliance and the finance department. She worked closely with Merriman`s financial entrepreneur clients on all matters relevant to the smooth running of their individual businesses.