As planners, we may be gathering more assets but we still need a broker-dealer. Let’s name just a few reasons:
Founder, Financial Advisor
David is committed to building an environment conducive to growth, support, and lead generation. His vision of building teams of different expertise and independence is innovative in the financial service industry. Team structure and independence go “hand in hand” in forming the foundation of a Rep-focused culture. In addition to recruiting and managing the multi-faceted teams, Dave maintains and builds on the relationships between the Patriot Financial Group’s Hybrid Registered Investment Advisor (RIA), broker-dealer affiliation, and independent insurance and group product departments.
Chief Compliance Officer
Rosemarie is committed to ensuring the firm and all advisors/representatives are in compliance with the SEC and FINRA Regulatory Requirements. Rosemarie is the Chief Compliance Officer of The Patriot Financial Group with over 18 years in the Financial Services industry. Rosemarie supervises the daily activities of TPFG’s RIA and its Registered Representatives with LPL Financial and Advisors with LPL Corporate RIA.
Chief Operations Officer
Nicole oversees the operations of the firm as well as building and implementing business systems and practice management solutions. Her ability to create comprehensive workflows and manage technology platforms make her indispensable to advisors. Nicole has over six years of broad experience in the financial services industry spanning multiple departments such as compliance, marketing, licensing, recruiting, onboarding, and assimilation.
Jenn works with advisors who are interested in growing their practice through purchase and acquisition of other practices. She starts by learning about the advisor’s practice and goals and then designs a prospecting plan to find suitable candidates. She then helps the advisor secure funding and the team at TPFG can assist with the client transition process. Ongoing support helps to ensure the legacy of the firm continues.
Amanda graduated from Boston College, where she studied both Communications and Business Management & Leadership. Her past work experience brings fresh marketing and social media ideas to the table as well as video and digital marketing support.
Chief Executive Officer, Financial Professional
Michael is committed to helping each advisor maximize the value of their independent practice. In addition to recruiting advisors to the Patriot Financial Group Michael works closely as a personal coach, helping each advisor drive long-term success and growth for their practice. Michael is also involved in the day-to-day operations of the company. He is responsible for making sure The Patriot Financial Group RIA is compliant, productive, and moving in the right direction.
Compliance & Licensing Coordinator
Michaela has been in the global financial services industry for over 16 years, 10 of which have been in Compliance. Her primary focus is on The RIA side of The Patriot Financial Group; supporting both individual reps and our Chief Compliance Officer stay on top of daily compliance responsibilities and changes in regulations.
Managing Director, Employee Benefits
Businesses seeking to attract, retain, and reward current and future employees have consulted with Gregg for over twenty-five years. His blend of expertise, creativity and objectivity allow him to bring innovative solutions to businesses of all sizes.
Sr. Vice President of Business Development
With decades of experience in financial services and marketing, Jill has the unique ability to help advisors and professionals work together to help clients achieve their financial goals. She works with accountants, attorneys, insurance agents, lending institutions, and other professional partners to incorporate financial services into their firms to better serve their clients and provide a valuable resource. By utilizing our team approach, clients always have access to experienced specialists who are in the best position to offer creative solutions to their unique financial challenges.
Director of Account Services
In 2017, Alison joined Patriot Benefit Services, LLC as the Director of Account Services. Previously she worked in the insurance industry as an independent broker for ten years. She provides service to businesses, as well as individuals. Her expertise includes health, life, disability, supplemental, and long-term care insurance. She is dedicated to helping clients lower insurance costs, mitigate tax liability, and offer benefits to attract and retain valuable employees.
A graduate of SUNY Stony Brook, Alison received her BA in Economics, Sociology and Business Administration.
President of Patriot Brokerage Services
President of Patriot Brokerage Services, Ralph is committed to developing impactful relationships with financial advisors. His core competencies include life insurance, disability income insurance, annuities, and long-term care insurance. Ralph has years of experience in product placement and case design and provides access to most any carrier. Ralph provides point-of-sale support, advanced marketing, and creative estate and business planning techniques. Born in Canada, Ralph is a graduate of the University of Winnipeg. He has grown children and currently makes his home in Norton, MA.
Director of Advisor Services
Maggie is an extremely versatile project manager who provides administrative support for Patriot Financial Group in a variety of areas. She provides complete back-office technology processing to assist advisors with their practice. This includes billing, virtual filing, and reporting. She is the liaison and provides support on advisor platforms like the SA Business Center, BD, VeoOne, and Schwab Advisor Center. She also performs HR duties and staff payroll. With The Patriot Financial Group experiencing enormous growth, she helps onboard new advisors and helps them transition their practice. This includes filing their U4, ADV2B, ADV2A, business logs, DocuSign, and fixed business tracking.
Chief Compliance Officer
Caitlyn Frament has vast compliance experience starting with her degree in Legal Studies from U-Mass. She holds Series 6, 7, 24 and 66 licenses. She started her career with MetLife as a compliance officer. She transitioned to a growing OSJ in Waltham that was affiliated with Lincoln Financial. As compliance manager, she set up the firms’ RIA and then took the entire organization through a broker-dealer transition over to LPL. Throughout her tenure, she created compliance manuals from scratch, took the compliance department to 100% paperless, and was instrumental in reducing audit risks.
Caitlyn supports The Patriot Financial Group in all of these aspects as well as training and onboarding advisors. She oversees all compliance operations and develops, tests, and maintains policies. She continues to streamline operations to edge closer to a fully paperless office.
Raised in Rhode Island, Caitlyn now lives in Providence.
Previously, Ashley was an Investment Specialist at Merrill Edge which led her to develop a growing interest in the interpretation of SEC rules and FINRA policies. She will play a key role in the supervisory aspects of the firm. In her capacity, Ashley will work closely with advisors to approve trades and monitor business activities. She has a diverse background in the financial services and insurance industry, and received her bachelor’s degree in Finance from Rhode Island College. Ashley currently holds the Series 7, 66 & 24 licenses.
Chief Investment Officer
Michael is a proven investment professional with over 10 years of experience in the fund and wealth management space. Most recently, he served as the Chief Investment Strategist and portfolio manager for all advisory investment vehicles within the broker-dealer division of Citizens Wealth Management (Citizens Financial Group). Before joining Citizens, Michael spent time as a portfolio manager at Geode Capital Management and ProShare Advisors, as well as Investment Risk Analyst for the Vanguard Group. Michael holds a BSBA degree in Finance and a BA degree in Business Economics.
EVP Compliance & Operations
Originally from Maine, Jon Loranger is a graduate of Northeastern University. He holds Series 7, 24, 53, 63, and 65 registrations. He oversees the compliance operations of the firm. This includes maintaining compliance manuals and processes, archival of documents, and new business approval. His goal is to reduce audit risks while maintaining efficient business solutions. Jon has over 18 years of experience in the financial services industry where he served in various capacities such as IT director, senior agency supervisory officer, and as a financial advisor. In his role, Jon works closely with operations, marketing, licensing, technology, broker/dealer relations and advisor support services.
As Compliance Coordinator, Cassie will play a key role in the supervisory and operational aspects of the firm. She will work closely with advisors to approve trades and monitor business activities. Her attention to detail, combined with her analytical and organizational skills make her an invaluable member of the Patriot team.
HONORS AND SERVICE TO THE COMMUNITY
Cassie’s love of animals is her passion and she enjoys volunteering at the local veterinary vaccine clinics.
Cassie ran the office of a highly successful advisory practice in central Mass. Prior to financial services she worked in customer service in the veterinary and restaurant industries. She completed 2 years at UMass Amherst in Veterinary Medicine.
Cassie enjoys the outdoors and spends time horseback riding, fishing and snuggling with her rescue dog Shelby!