Chief Compliance Officer@ TD AMERITRADE Trust Company
Gilbert, Arizona, United States
Patrick Kennedy, JD
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State University of New York College at Cortland
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FlashIntel GPTPatrick Kennedy, JD is a highly experienced manager and analyst with 36.8 years of work experience in advisory and brokerage support activities. He is skilled in mutual funds, securities, risk management, financial services, and strategic financial planning. Based in Brea, California, Patrick is known for his expertise in advisory program structures and client support. He is familiar with compliance regulations and practices, and has worked in various roles, including Chief Compliance Officer and Senior Manager in institutions and financial services firms. Patrick is a trusted advisor and advisor in the industry, offering valuable insights and guidance to investment institutions and financial services firms.
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A diversified manager and analyst of advisory and brokerage support activities, as well as a top contributor to new advisory business initiatives. Excellent knowledge of advisory program structures, including adviser-directed, turnkey, and third-party programs. Prides self in client support and relationship management. Would be valuable to any investment institution or financial services firm. Thoroughly familiar with applicable Advisers Act, ERISA, FINRA and other compliance regulations, standards, and practices. Specialties: Adviser Directed Accounts, Policies & Procedures Development and Enhancement, Third-Party Programs, Investment Adviser Audit and Review, Independent RIAs (RR/RIAs), Mutual Fund Wrap Programs, Financial Planning Programs, Rule Interpretation and Implementation
...See MoreWork Experience
Chief Compliance Officer
Investment Banking
Patrick Kennedy, JD's Professional Milestones
- Senior Manager, Institutional Compliance - Trust Compliance (2014-01-01~): Developed and implemented robust safety protocols, safeguarding all institution assets and processes.
- Owner And Financial Services Consultant (2010-01-01~2014-01-01): Expanding client base by providing expert financial guidance and strategic recommendations for optimal returns.
Education
Skill
Mutual Funds
Securities
Risk Management
Financial Services
Strategic Financial Planning
Investments
Investment Advisory
Asset Management
Financial Risk
Series 7
Asset Managment
Certification
Other Named Patrick Kennedy, JD
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Patrick Kennedy, JD works for TD AMERITRADE Trust Company
Patrick Kennedy, JD's role in TD AMERITRADE Trust Company is Chief Compliance Officer
Patrick Kennedy, JD works in the industry of Investment Banking
Patrick Kennedy, JD's latest job experience is Chief Compliance Officer at TD AMERITRADE Trust Company
Patrick Kennedy, JD's latest education in State University of New York College at Cortland
