Jim Verdone

Jim Verdone

SENIOR DIRECTOR, COMPLIANCE AND RISK MANAGEMENT

Jim joined Asgard in October 2026 as a Senior Director, bringing over thirty years of experience in the financial industry.  He spent over eleven years at Citigroup, starting in Salomon Smith Barney’s Early Dispute Resolution Department and was the founding Compliance Officer of a Smith Barney branch office dedicated to the Citigroup Private Bank.  Additionally, he oversaw Banco Santander’s US businesses as part of the US Corporate Compliance Office and then became the Chief Compliance Officer at Safra Securities.  For the past 12 years he has served as the CCO for numerous broker-dealers. He currently holds the following securities licenses: Series 4, 7, 8, 9, 10, 14, 24, 52, 53, , 63, 99 & SIE.