Find your path to Patricia
37 people in our graph share verified history with Patricia — schools, employers, funds. One of them is your warm intro.
Barry RitholtzunlockedPatricia: together at Ritholtz Wealth Management (2020–2026)
×9Patricia: together at Ritholtz Wealth Management
Patricia: together at Utica University
Patricia: together at St. Francis College
About
Patricia Hatzfeld works in compliance at Ritholtz Wealth Management. She previously spent years as a regulator in the financial services industry, leading national programs reviewing broker-dealer and registered representative compliance with securities laws and rules, before moving into a compliance role in the investment advisory sector.
Experience
- Ritholtz Wealth ManagementChief Compliance Officercurrent2020 — present
- Conduct Risk, Investment Fraud, Compliance Testing, Financial Reporting, Targeted AnalyticsSecurities Compliance Consultant2020
- FINRASenior Director, Member Supervision2015 — 2020new york, new york
- FINRAAssociate District Director, Member Regulation2014 — 2015new york, new york
- FINRAExamination Manager2011 — 2014Jericho NY
- FINRARegulatory Specialist, Office of Risk2010 — 2011New York, NY
- FINRAExaminer2005 — 2010
Skills & more
FINRA7Anti Money Laundering9Financial Risk4Internal Controls2Operational Risk2Equities3Mutual Funds1Financial Services1InvestmentsRisk Management1Financial Regulation2Fixed Income3
+3 more
SecuritiesFraud InvestigationsSecurities RegulationFrom Patricia's professional profile.
Colleagues at Ritholtz Wealth Management
Anna Chaiken
Vice President at Ritholtz Wealth Management
Barry Ritholtz
Chairman & Chief Investment Officer at Ritholtz Wealth Management
Ben Carlson
Director of Institutional Asset Management at Ritholtz Wealth Management
Bill Artzerounian
Director of Tax Services at Ritholtz Wealth Management
Blair duQuesnay
Lead Advisor – The Preserve at Ritholtz Wealth Management
Brian Rosen
Sr. Advisor at Ritholtz Wealth Management
Chris Carey
Advisor at Ritholtz Wealth Management
Colleen Parker
Director of Client Service at Ritholtz Wealth Management
Frequently asked questions
- Who is Patricia Hatzfeld?
- Patricia Hatzfeld works in compliance at Ritholtz Wealth Management. She previously spent years as a regulator in the financial services industry, leading national programs reviewing broker-dealer and registered representative compliance with securities laws and rules, before moving into a compliance role in the investment advisory sector.
- Where does Patricia Hatzfeld work?
- Patricia Hatzfeld is Chief Compliance Officer at Ritholtz Wealth Management.
- Where did Patricia Hatzfeld go to school?
- Patricia Hatzfeld studied at Utica University (Master's Degree, Economic Crime Management); St. Francis College (Bachelor of Science - BS, Accounting).
Same school
Also attended Utica University9
Craig WeaverLP · Investment Committee at ALIAVIA VenturesRachael CarnevaleManager, Operations at A-Rod CorpRob LeeVenture Partner at DataTribeAndy RubinManaging Partner at Playground GlobalLisa DreyerSenior Associate, Operations at Pappas CapitalDean GaylordUpVentures Hospitality at UpVentures Capital
+ 3 more
Also attended St. Francis College6
Keith BergenOperations Professional at Innovatus Capital PartnersTracey ScarlettDirector at Alberta Enterprise CorporationDominik RohéDeputy Head of the International Business, Global Head of Client Platform at BlackRockHector DEGOSAnalyst at Auriga PartnersFilip KisdobranskiInvestor at Mid Europa PartnersJoseph SalegnaChief Financial Officer at Blantyre Capital
Shared employers
Also worked at FINRA22
Floyd H. GriffithManaging Partner at Little Bristol PartnersEden OlsonSenior Associate, Legal & Compliance at JMI EquityOmar FarooquiDirector of Valuation at EJF VenturesMark CasadyGeneral Partner and Co-Founder at Vestigo VenturesJohn ParmigianiCEO & Fund Manager at Disruptive VenturesMitch BrooksFounding Managing Partner at High Street Equity Partners
+ 16 more