Kevin is the Chief Legal Officer of Sanctuary Wealth and a member of the company’s Executive Leadership Team. As Chief Legal Officer, he leads the company’s Legal department with responsibility for all legal, regulatory, and corporate governance matters related to the company’s wealth management, broker-dealer and investment adviser operations, products, and services. As a member of the Executive Leadership Team, he plays a key role in the company’s decisions related to strategic growth, acquisitions, operational initiatives, and enterprise projects.
As an accomplished executive leader with over 30 years of legal and financial services experience, he has served as Chief Legal Officer, General Counsel, Chief Compliance Officer and Chief Risk Officer at national top-tier advisory and brokerage firms. He has a proven history of achieving strategic and business objectives while implementing appropriate risk mitigation strategies. Kevin is also a recognized advocate for the industry who regularly speaks at events and conferences and has served on numerous financial services committees and regulatory task forces.
Most recently, Kevin served as General Counsel, Corporate Secretary and Executive Leadership Team member at Carson Group Holdings, LLC, a diversified financial services company headquartered in Omaha, Nebraska. Prior to that he served as Executive Vice President, General Counsel and Corporate Secretary at Securities America, Inc., a top national broker-dealer, and its affiliated insurance and investment advisory firms. During his 20 years at Securities America, Kevin was a member of the Executive Leadership Team and served in multiple C-suite roles in addition to being General Counsel.
Committed to philanthropy, Kevin currently serves as a member of the Board of Directors for The Dreamweaver Foundation, a non-profit organization dedicated to fulfilling the dreams of terminally ill seniors. He previously served on the Board of Heartland Family Service, a non-profit organization providing critical human services to strengthen individuals, families and communities through advocacy, education, counseling, and support services.
Kevin earned a J.D. from Creighton University and a B.S. in Business Administration from Iowa State University. He also holds FINRA Series 7, 24 and 66 securities licenses.
Kevin currently resides in Wisconsin with his wife, Katherine, and their two Samoyed dogs, where they enjoy the outdoors, attending concerts and sporting events and traveling.