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Patricia Hatzfeld

Investor

Chief Compliance Officer at Ritholtz Wealth Management

Long Island

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

  1. Ritholtz Wealth ManagementChief Compliance Officercurrent2020 — present
  2. Conduct Risk, Investment Fraud, Compliance Testing, Financial Reporting, Targeted AnalyticsSecurities Compliance Consultant2020
  3. FINRASenior Director, Member Supervision2015 — 2020new york, new york
  4. FINRAAssociate District Director, Member Regulation2014 — 2015new york, new york
  5. FINRAExamination Manager2011 — 2014Jericho NY
  6. FINRARegulatory Specialist, Office of Risk2010 — 2011New York, NY
  7. FINRAExaminer2005 — 2010

Education

  1. Utica UniversityMaster's Degree, Economic Crime Management2007 — 2009
  2. St. Francis CollegeBachelor of Science - BS, Accounting

Skills & more

FINRA7Anti Money Laundering9Financial Risk4Internal Controls2Operational Risk2Equities3Mutual Funds1Financial Services1InvestmentsRisk Management1Financial Regulation2Fixed Income3
+3 moreSecuritiesFraud InvestigationsSecurities Regulation

From 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

Where does Patricia Hatzfeld work?
Patricia Hatzfeld is Chief Compliance Officer at Ritholtz Wealth Management.

Same school

Also attended Utica University4

Craig WeaverLP · Investment Committee at ALIAVIA VenturesRachael CarnevaleManager, Operations at A-Rod CorpRob LeeVenture Partner at DataTribeAndy RubinManaging Partner at Playground Global

Also attended St. Francis College1

Hector DEGOSAnalyst at Auriga Partners

Shared employers

Also worked at FINRA13

Floyd H. GriffithManaging Partner at Little Bristol PartnersMark CasadyGeneral Partner and Co-Founder at Vestigo VenturesJohn ParmigianiCEO & Fund Manager at Disruptive VenturesMitch BrooksFounding Managing Partner at High Street Equity PartnersBrendon CaioneDeputy General Counsel at B Capital GroupEric NollBoard Member at AlphaPoint

+ 7 more