Patrick Kane

Patrick Kane

MANAGING DIRECTOR, COMPLIANCE AND RISK MANAGEMENT

Patrick joined Asgard in April 2025 as a Managing Director, bringing with him over 20 years of compliance experience, including having served as General Securities Principal and Chief Compliance Officer for multiple firms.   At Asgard, Patrick draws on his expertise in broker-dealer and investment advisory compliance, leading engagements and consulting on compliance manuals, regulatory filings, employee training, branch audits, research, trade surveillance, management of the annual review process and the facilitation of regulatory examinations. 

Previously, Patrick was an Executive Director of Waystone Compliance Solutions, servicing a number of broker-dealers and RIA's, employing a wide range of strategies and business models.  Prior to his time at Waystone, Patrick spent 6 years as the Chief Compliance Officer for a New York based broker-dealer and registered investment advisor.  

Patrick holds a Bachelor of Arts Degree in Marketing from the University of Scranton. He currently holds the Series 4, 7, 24, and 57 licenses.

In his free time, Pat enjoys spending time with his family, coaching and exercising.