As planners, we may be gathering more assets but we still need a broker-dealer. Let’s name just a few reasons:
David is committed to building an environment conducive to growth, support and lead generation for teams of financial service specialists. 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 Groups Hybrid Registered Investment Advisor (RIA), Securities America 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 over sees the operations of the firm as well as building and implementing business systems and practice management solutions. Nicole has over six years experience in the financial services industry spanning multiple departments including compliance, marketing, licensing and most recently recruiting and onboarding.
Jennifer’s art and marketing background makes her a valuable resource to the advisors. She helps them create custom marketing ideas that nurture both existing client relationships, and also centers of influence. Jennifer is also a resource to the advisors with logo design, branding, and the compliance part of marketing.
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
Michael is committed to the independent RIA model, and to helping each advisors 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, 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 allows him to bring innovative solutions to businesses of all sizes.
Sr. Vice President of Business Development
Jill specializes in coaching CPA’s and Attorneys to help clients receive holistic and coordinated financial planning services. “Jill has decades of experience and provides a valuable resource to our advisors. With her track record we are confident that she will elevate our advisory practices to new levels,” said Dave O’Donnell, Founder of The Patriot Financial Group.
Director of Account Services
In 2017, Alison joined Patriot Benefit Services, LLC as the Director of Account Services. She has worked in the insurance industry as an independent broker for ten years, servicing businesses, as well as individuals with health, life, disability, supplemental, and long-term care insurance. Since 2012, Alison has been providing financial planning solutions, as well as risk management services. She helps 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
Ralph is committed to developing impactful relationships with financial advisors. His core competencies include life insurance, disability income insurance, annuities, and long-term care. Ralph has years of experience in product placement and case design and provides access to most any carrier. Ralph provides point-of-sale support, case design, advanced marketing, and creative estate and business planning techniques in an environment that extends to carrier and product expertise. Born in Canada and a graduate of the University of Winnipeg Ralph has grown children and makes his home in Norton, MA.
Client Services Associate
Maggie provides administrative support for Patriot Brokerage Services. She provides complete back-office processing from getting advisors appointed to carriers to processing and submitting applications, coordinating parameds, and responding to correspondence. Maggie acts as a liaison between all of the involved parties. She handles all of the communication and flow of documents to facilitate the process. Maggie provides quotes, works with underwriting and case managers, facilitates product placement and supports policy delivery, underwriting negotiation, and complete back-office processing.
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. Upon graduation in 2006, she joined 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 firm 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 supported the firm with training and onboarding advisors. She also developed, tested and maintained policies.
Caitlyn’s strong organizational skills will be a valuable asset to The Patriot Financial Group. Her goals are streamlining operations and taking the firm to a paperless office.
Raised in Rhode Island, Caitlyn now makes her home in Massachusetts and will be working out of the Westboro office.