Patrick Kane Email & Phone Number
Managing Director @ Asgard Regulatory Group, LLC
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Patrick Kane Location
- New York, NY, US
Patrick Kane Work
- Managing Director @ (April 2025 - Present)
- Managing Director at Asgard Regulatory Group, LLC @ (April 2025 - April 2025)
- Executive Director @ (November 2023 - April 2025)
- CCO @ SEA OTTER SECURITIES GROUP (January 2018 - April 2025)
- CCO @ SEA OTTER SECURITIES GROUP (January 2018 - November 2023)
- Chief Compliance Officer @ Sea Otter Advisors (March 2023 - November 2023)
- Compliance @ Arxis Capital Group LLC (November 2016 - December 2017)
- Vice President Compliance @ (February 2013 - November 2016)
- Assistant Vice President Supervisory Control @ Knight Equity Markets (November 2008 - February 2013)
- Assistant Vice President @ (April 2006 - November 2008)
- Head Floor Clerk @ (November 2000 - April 2006)
- Assistant Trader @ Harvey, Young and Yerman (September 1998 - November 2000)
Patrick Kane Education
- University of Scranton
BA (MARKETING)
1994-1998 - Chaminade High School 1990-1994
Patrick Kane Skills
- AML
- Access
- Bloomberg
- Broker-Dealer
- Broker-Dealer Compliance
- Business Analysis
- Capital Markets
- Coaching
- Communication
- Compliance
- Compliance Management
- Compliance Regulations
- Compliance Testing
- Customer Service
- Derivatives
- Director level
- ETFs
- Electronic Trading
- Equities
- Equity Trading
- Excel
- FINRA
- Finance
- Financial Advisory
- Financial Regulation
- Financial Risk
- Financial Services
- Fixed Income
- Hedge Funds
- Investments
- Legal Compliance
- Microsoft Excel
- Microsoft Office
- Options
- Outlook
- Regulatory Filings
- Regulatory Requirements
- Risk Management
- Securities
- Series 24
- Series 25
- Series 4
- Series 55
- Series 7
- Team Building
- Trading
- Trading Systems
- U.S. Securities and Exchange Commission (SEC)
- Word
- Writing
- u.s. securities and exchange commission
- Series 63
- Program Management
- Project Management
- Electronic Trading Systems
Patrick Kane Summary
- Patrick Kane, based in New York, NY, US, is currently a Managing Director at Asgard Regulatory Group, LLC. Patrick Kane brings experience from previous roles at Asgard Regulatory Group, LLC, Waystone Compliance Solutions and SEA OTTER SECURITIES GROUP. Patrick Kane holds a 1994 - 1998 BA in MARKETING @ University of Scranton. With a robust skill set that includes AML, Access, Bloomberg, Broker-Dealer, Broker-Dealer Compliance and more. Patrick Kane has 3 emails and 4 mobile phone numbers on RocketReach.
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Top Asgard Regulatory Group, LLC Employees
Patrick Kane
Managing Director
New York, NY, US
Eden Turner
Managing Director, Compliance and Risk Management
Oakdale, NY, US
Alona Kornberg
Senior Associate Director
New York, NY, US
Shannon Brady
Senior Compliance Associate
United States
Tiffany Brady
Administrative and Operations Coordinator
Bradenton, FL, US
Conor Fitzpatrick
Compliance Associate
New York, NY, US
Taylor Turner
Head of Human Resources and Operations
Melville, NY, US
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