As Vice President of the Compliance team at NewEdge Wealth, Pat assists in identifying areas of regulatory risk, overseeing Investment Management Platform and Advisory Programs, handling the OSJ role for the Stamford New Edge Securities office, and aiding with the design and testing of the firm’s policies and procedures.
Most recently, Pat served as a Regional Monitoring Officer in Wealth Management at Morgan Stanley, where he conducted in-depth reviews and trend analyses of client activity and advisor conduct, identifying and escalating potential sales practice violations and market manipulation risks. He has also held key compliance roles at JPMorgan Chase and Royal Alliance, where he conducted hundreds of branch exams and managed complex supervisory responsibilities across large advisor networks.
Pat received his Bachelor of Science in Business Administration and Finance from Marist College, where he also minored in Economics. Currently, he holds Series 7, 24, 52, 53 and 66 licenses.
Pat is originally from Lake Ronkonkoma, NY, and currently resides in Redding, CT, with his wife and son. In his free time, he enjoys making bad dad jokes and spending time with family and friends.