3900 Veterans Memorial Highway, Suite 360, Bohemia, NY 11716
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.
Prior to this, Jon was a Supervisor of Examiners at FINRA, previously NASD, in the New York District Office. While with FINRA, he supervised routine examinations of FINRA member firms, conducted large- scale enforcement cases jointly with the Justice Department and Federal Bureau of Investigations. Jon also assisted the District Office with its ongoing training of new examiners.
In addition, Jon was a Senior Adjunct Professor in the Townsend School of Business at Dowling College whereby he provided in-depth knowledge and related work experience to MBA students as it related to the U.S. securities markets and financial institutions. He was responsible for introducing students to the subjects of financial derivatives, foreign stock exchange, hedge transactions and risk management.
Jon earned his BBA in Accounting and his MBA in Banking and Finance from Dowling College. Jon is also a Certified Anti-Money Laundering Specialist (CAMS) and holds the Series 7, 24, 27, 53, 55, 63, 66, 79 and 99 licenses as well as his NYS Life and Health Insurance licenses.
Jon’s technical skills along with his interpersonal skills makes him a unique resource for our clients. Jon resides in Suffolk County, New York with his wife Maria and and 3 children – Justin, Kimberly and Alyssa.
Personal interests for Jon and his wife Maria include watching their son’s baseball games and enjoying their daughter’s acting and singing performances on stage. He also enjoys to play golf as often as possible as well as vacationing with his family. Jon is an avid superhero fan as you may have noticed by the name of our company. In addition, Jon and Maria volunteer their time in supporting the local community in both the sports and performing arts programs.
Rich has worked in the financial services industry for over eighteen years in the areas of compliance and risk analysis. He joined Asgard as a Senior Regulatory Advisor in March of 2011. Rich currently holds the position of CCO and AMLCO for two institutional broker-dealer clients that operate pursuant to an SEA Rule 15a-6 agreement. Previously, Rich has acted in the capacity of CCO and AMLCO of two other FINRA member broker-dealers. In his role with Asgard, Rich is responsible for performing Office Inspections (Rule 3110) and Supervisory Control Testing (Rule 3120) on behalf of our clients. Rich is accustomed to presenting his report results to each client’s Board Members.
As CCO, he is responsible for reviewing and maintaining Private Placement Term Sheets and Applications, performing the Needs Analysis and Written Training Plans as part of the Firm Element Continuing Education Program, maintaining Road Show records, developing and delivering Annual Compliance Meetings, compliance training, trade surveillance, updating written supervisory policies and procedures, and making associated regulatory filings (i.e. Form U4, U5, Form BD, Form BR and Annual FINRA Contact System updates).
Rich is also responsible for overseeing the distribution, review, and maintenance of Third Party Research under FINRA Rule 2241 and SEA Rule 15a-6.
Since joining Asgard, he has earned the Certified Anti-Money Laundering Specialist (CAMS) Certification and has performed numerous Independent AML Inspections utilizing a risk-based approach. In addition to his CAMS Certification, Rich maintains the Series 4, 7, 24, 55, 63 licenses.
Rich started skiing with his family in southern Vermont at the age of six; he continues to ski with his extended family in the Rocky Mountains.
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.
Adriana oversaw Merriman’s research product and worked together with the Research Analysts to ensure the quality, quantity, and distribution was efficient. Prior to Merriman, Adriana worked at Ticonderoga Securities LLC, where she was a Research and Marketing Principal, and responsible for building the research and marketing platform; creating and implementing research supervisory procedures; supervising and approving publication of research; and marketing products, managed vendor relationships and negotiations. She was also a member of the firm`s Investment Policy Committee.
Prior to joining Ticonderoga Securities LLC, Adriana was a Research and Product Coordinator at Collins Stewart where she was the assistant to the Director of Research. She began her career as a Research Coordinator with C.E. Unterberg, Towbin in New York.
Eden joined the Asgard team in March 2014. Eden assists in advising financial institutions in developing proactive strategies and tactics for regulatory compliance. This includes conducting Office Inspections (Rule 3110), Supervisory Control Testing (Rule 3120), Independent Anti-Money Laundering Inspections, Annual Compliance Meetings, and Electronic Communication surveillance reviews.
Eden is instrumental in developing client reporting and analysis, the creation and implementation of the Asgard FINRA Disciplinary Actions Tracking and Reporting Analysis for our clients and she also assists in preparing new client files, securities registrations and terminations, Form BD/BR amendments and Firm Element Continuing Education Programs.
Prior to joining Asgard, Eden was an intern with the New York Jets at their summer training camp and then worked as an Event Staff Fan Ambassador during the 2013/2014-football season.
Eden holds a Bachelor of Science degree in Business Economics: Financial Management from SUNY Cortland.
In her free time, Eden enjoys spending time with her family and friends, whether that is at the beach, country concerts or sporting events.