Kevin P. Chase is a highly experienced Chief Compliance Officer with a proven track record of success in bringing firms into the current regulatory environment. Kevin has worked for over 30 years in the financial services industry, with extensive experience in all aspects of wealth management, including compliance and supervision, risk management, business strategy, and operations.
Kevin has over 25 years of experience in compliance supervision at some of the largest and most successful wirehouse and independent wealth management firms in the country, including many years at Merrill Lynch.
As Sanctuary’s Chief Compliance Officer, Kevin is responsible for all compliance and supervision for the Broker Dealer and RIA. He has worked to continue to bring Sanctuary into the current regulatory environment, including 100% change in management, technology, and culture. Kevin is responsible for coordinating and achieving favorable resolutions with FINRA, SEC, and State Regulators.
With a Bachelor of Science in Business Administration with a concentration in Finance from Bryant University and a Master’s in Business Administration from Suffolk University, Kevin is registered with FINRA with various licenses, including Series 7, 9, 10, 24, 63 and 65.
When Kevin is not working, he enjoys spending time with his family, which includes his wife and four children. He also enjoys running marathons, having completed the Boston, New York, Ocean State, and Philadelphia marathons.