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.
Prior to joining Asgard, Sean held internships at Maxim Group, LLC. Sean holds a Bachelor of Science Degree in Business Administration from SUNY Binghamton.
In his free time, Sean enjoys playing soccer and basketball and traveling.