Kevin Maas is President of Wealth Management Compliance Alliance™, a division of Pohl Consulting and Training, which provides a wide range of regulatory and compliance services involving wealth management to banks, registered investment advisors and broker dealers. Learn more within our RIA Compliance and Trust Compliance sections.
Kevin is a 25 year veteran of applying legal, regulatory and compliance realities to create competitive advantages for banks, registered investment advisors and broker dealers. As General Council, Chief Compliance Officer and business unit leader for PrimeVest Financial Services, (now Cetera Investment Services), and later as President and CEO of ING National Trust, Kevin has been successful in guiding highly regulated organizations through aggressive growth and doing so in a manner that enhances the firm’s legal and compliance effectiveness.
You may have heard Kevin as a speaker at financial services conferences on legal and regulatory topics affecting Wealth Management and, in particular, addressing the overlap of banking, FINRA and SEC regulation. Kevin is the author of numerous articles and white papers addressing Wealth Management topics such as the application of the SEC’s Regulation R in bank – broker dealer networking arrangements, and the sharing of bank trust employees with a broker dealer.
Kevin earned his Juris Doctorate from William Mitchel College of Law and a Bachelor of Science in Education from South Dakota State University. He holds the FINRA Series 7 and 24 registrations.
In his spare time he is restoring, bolt by bolt, a 1930 Ford Town Sedan and has the requisite bruised knuckles as proof.
Phone: 800-677-7462 ext 4006