Mr. Patrick Chism serves on Vigilant’s Management Committee and is responsible for Vigilant’s Broker Dealer Solutions. Patrick works closely with the team of CCOs and Fin-Ops who handle Vigilant’s clients; that team has over 100 years of Financial Services experience. Additionally, Patrick assists with the Broker Dealer Registration division within Vigilant. Patrick also serves as CCO of Vigilant’s Broker Dealer, among others, along with RIAs, and Mutual Funds.
Patrick acquired twenty years of dynamic and diverse experience in the brokerage industry from various firms, including Prudential Securities, Merrill Lynch and UBS Financial Services. Patrick’s responsibilities included compliance functions for a $24-billion-dollar complex with 70 plus financial advisors. His duties included oversight of all client accounts and operations. Furthermore, he was responsible for oversight of trading and marketing.
Patrick also conducted specialized reviews for complex products and Financial Adviser activity. Most recently, Patrick was part of the Compliance Team at FS2 Capital Partners, LLC, the broker-dealer of Franklin Square Capital Partners and Franklin Square’s Advisers. Patrick holds numerous FINRA Licenses: Series 24 (Securities Principal), Series 7 (General Securities Representative), Series 9 and 10 (General Securities Sales Supervisor), Series 66 (Uniform Combined State Law), Series 99 (Operations Professional), and life and health insurance licenses.
Patrick earned his bachelor’s degree from Texas A&M University and is involved with the local chapter of the Association of Former Students.