Our Team
Our Team
Aaron Larson
Senior Consultant, Compliance Services
Aaron has broad experience across the compliance spectrum in financial services, most recently with an SEC registered RIA as the Senior Compliance Officer. He holds a B.S. in Actuarial Science and an MBA both from Carroll University. He has passed the FINRA Series 7, 9/10, and 66 exams. He takes continuing education seriously and has enrolled in the IACCP® (Investment Advisor Certified Compliance Professional) designation program. Outside of Key Bridge, Aaron enjoys the outdoors, sporting events, and travelling.
- amathis@kbc.team
- 513-229-4624
- 36 W Pike St
Covington, KY 41011
Amy Mathis
Director of Finance and Administration
Amy joins Key Bridge with a long history of supporting financial advisors in an administrative role. Amy spent 10 years with The Huntington Investment Company and has experience working with individually owned wealth management firms, during this time she obtained her life and health license as well as the series 6 and 7 licenses. She is currently working towards a bachelor’s degree in business administration with a focus in finance from Liberty University. Amy lives in Cincinnati with her husband and son, along with their German shepherd.
Anisha Varatharajah
Consultant, Marketing
Brandon Chilton
Compliance Intern
Brandon joins Key Bridge Compliance as a motivated honors student at the University of Cincinnati, studying Finance and Business Economics. He is passionate about helping people and finding innovative ways to solve problems in the finance and business worlds. Brandon is a curious person that loves learning new things, especially in the financial services, and economics industries. In his free time, Brandon loves learning new things, and volunteering to give back to his community. He is from Columbus, OH, and is a proud member of Alpha Phi Alpha Fraternity Inc.
Brandon Chilton
Compliance Intern
Brett Pohl
Director, Compliance Services
Brett has worked in the financial services industry for over 25 years, with a focus on compliance for more than 20 of those years. For 13 years prior to joining Key Bridge, Brett was the Chief Compliance Officer for a multi-national firm and was responsible for registering the firm with the Securities and Exchange Commission as well as developing, implementing and maintaining the compliance program. Brett has also had varying compliance roles for Batterymarch Financial Management and Fidelity Investments.
Brett, his wife and two children live on the South Shore in Massachusetts.
- bdechow@kbc.team
- (859) 309-8433
- 36 West Pike St.
Covington, KY 41011
Brian Dechow
Associate Director, Compliance Services
Brian Dechow is an Associate Director at Key Bridge Compliance. He previously served as a Compliance Intern at Key Bridge prior to joining the firm full time after graduation as a Compliance Analyst. Brian graduated Summa Cum Laude from Xavier University earning a Bachelor of Science in Business Administration with a major in Finance and a minor in History. While at Xavier, Brian served as Chief Compliance Officer and Energy/Utilities Manager of the D’artagnan Capital Fund, a student-run, actively-managed fund. Brian is originally from Indianapolis, Indiana and now lives in Covington, Kentucky.
- bpetraitis@kbc.team
- (859) 600-1497
- Chicago, IL
Brian Petraitis
Director, Compliance Services
- cpayne@kbc.team
- (513) 399-8091
- 36 W Pike St.
Covington, KY 41011
Chris Payne
Chief Operating Officer
Chris Payne serves as Chief Compliance Officer and Chief Operating Officer for Key Bridge Compliance. Chris has worked in the financial services industry since 2005, beginning in Operations and Trading, an experience that he leverages when working with his clients. Prior to joining Key Bridge Compliance, Chris worked for Graydon Compliance Solutions as Chief Compliance Officer and served as Compliance Officer for Matson Money, Inc. and Ameritas Investment Corp. He works with firms of all sizes to assist them in establishing institutional compliance practices and navigating complex regulatory issues. Chris earned his J.D. from the Salmon P. Chase College of Law at Northern Kentucky University, and his B.S. in Finance from Miami University of Ohio. Including being licensed to practice law in the state of Ohio, Chris earned the Investment Adviser Certified Compliance Professional (IACCP) designation co-sponsored by the Investment Adviser Association and National Regulatory Services. He also passed the Series 7, 24, 53, 63, and 66 examinations, as well as the Chartered Financial Analyst Level 1 examination. When he is not working, Chris enjoys reading, traveling, and relaxing with his family. Chris also currently serves on the Southwest Local School District Board of Education.
Christine Heroux
Director, Compliance Services
Christine serves as a Director for Key Bridge Compliance. Christine has worked in the financial services industry for over 15 years and is passionate about building strong relationships with her clients. After spending over a decade with Ameriprise Financial Services, serving in many different capacities, Christine left the Broker-Dealer world for a Senior Compliance Consultant role focusing on SEC registrant compliance with AdvisorAssist. Christine earned a Master’s in Business Ethics and Compliance from the New England College of Business and Finance which was the catalyst that transitioned her focus to compliance. Christine is also a co-founder/co-owner of a non-profit women’s sober home south of Boston, Massachusetts. Christine is passionate about supporting women on their journey to recovery to sobriety. Traveling the world, spending time with friends and family are also important to Christine as well as her two loving beagle mix rescues, Fiji and Cartel.
- dmason@kbc.team
- (202) 753-7141
- 36 W Pike St.
Covington, KY 41011
Dennis Mason
Director, Compliance Services
Dennis Mason serves as a Director for Key Bridge Compliance. Dennis has worked in the financial services industry for over 25 years. Over the course of his career, Dennis served in roles relating to bank trust operations as well as financial reporting, treasury, tax and compliance for registered investment companies. Prior to joining Key Bridge Compliance in April of 2021, Dennis served as Fund Compliance Officer at Apex Fund Services and Atlantic Fund Services where he worked to ensure the effective administration of fund service provider compliance programs and to build strong, personal relationships with clients. He also served as Chief Compliance Officer of several mutual fund series trusts including Forum Funds. Dennis earned a B.A. in Mathematics from the University of Southern Maine. Dennis earned the Investment Adviser Certified Compliance Professional (IACCP ®)designation co-sponsored by the Investment Adviser Association and National Regulatory Services.
- dtatum@kbc.team
- (513) 538-1150
- 36 W. Pike St.
Covington KY, 41011
Desaree Tatum
Consultant, Compliance Services
Desaree is a Consultant at Key Bridge Compliance, bringing over 20 years of experience in the financial services industry. She holds a Bachelor of Science Degree in Business Marketing from Wilberforce University and a Master of Business Administration from Xavier University. Desaree’s career began at Fidelity Investments, where she earned the Series 7 and 63 licensures as a Securities Trader. She later transitioned to the insurance field, obtaining a Life and Health license and working as an employee benefits consultant. Returning to investments, she gained the Series 26 certification and served as a Brokerage Operations Specialist at O.N. Equity Sales Company for eight years. With a well-rounded background spanning banking, insurance, and investments, Desaree possesses comprehensive expertise in financial services. Her primary focus lies in ensuring regulatory compliance, collaborating with Financial Advisors and the compliance team to handle documentation for new accounts and asset movement requests. Outside of her professional pursuits, Desaree enjoys exploring new culinary experiences, traveling, and cheering her two teenage sons.
Hannah Ward
Client Services Associate
Hannah Ward is a Client Service Associate at Key Bridge Compliance. She is a recent graduate of Mount St. Mary’s University and played on The Mount’s Division 1 tennis team. Graduating with a Bachlor of Science in Business, she has built a strong foundation to support our business and client services. She works closely with our Director of Client Services to support our process and strengthen Hannah’s experience within the industry. Hannah currently resides in Covington.
Holly Caulder
Client Service and Operations Associate
Holly serves as the Client Service Project Manager at Key Bridge Compliance. In this role, she assists the Director of Client Services and senior management to ensure that clients and staff receive the support they need to achieve their goals. Previously, Holly has helped businesses grow in entrepreneurial settings. She served as an Executive Assistant and Development Associate for a nonprofit in the D.C. Metro Area and has worked in various roles at higher education institutions including program coordination, administration and marketing at the University of New Mexico, the New Mexico Institute of Mining and Technology, and Northern New Mexico College. Overall, she enjoys helping individuals and teams overcome challenges to succeed. Holly holds her Master of Business Administration in Strategic Management and Policy and received her B.A. in Strategic Communications, Political Science with a minor in Business. She enjoys spending time with her husband hiking in the mountains, baking on the weekends and doing yoga.
- imeiksins@kbc.team
- (202) 753-6940
- 36 W Pike St
Covington, KY 41011
Ian Meiksins
President
Ian Meiksins is the President and co-founder of Key Bridge Compliance. Prior to launching Key Bridge Compliance, Mr. Meiksins worked at Graydon Compliance Solutions, LLC, where he served as a Compliance Officer, Senior Compliance Officer and Chief Compliance Officer. In his role as an outsourced Chief Compliance Officer, Mr. Meiksins served Registered Investment Advisers across the country, working with institutional asset managers, wealth managers and Private Funds. Prior to joining Graydon Compliance Solutions, Mr. Meiksins worked for the Human Capital Institute, an HR education and consulting Firm. Mr. Meiksins earned his IACCP® (Investment Adviser Certified Compliance Professional) certification from the National Regulatory Service and is a two-time graduate from Xavier University in Cincinnati, OH earning both a bachelor’s degree and a Masters of Business Administration.
Mr. Meiksins resides in Cincinnati, OH with his Wife, daughter and dog, Sally.
- jcalvert@kbc.team
- (859) 287-1657
- 36 W Pike St.
Covington, KY 41011
Jared Calvert
Director, Compliance Services
Jared Calvert serves as a Director at Key Bridge Compliance, LLC. Prior to coming to Key Bridge, Jared served Bartlett Wealth Management, an RIA with over $8 billion of AUM, as Compliance Associate, Compliance Officer, and Chief Compliance Officer over a 15-year span. Jared earned a B.S. from the University of Findlay. When he isn’t working, Jared enjoys bike riding, spending time with his family, and is a hobby bladesmith. Jared resides in Northern Kentucky with his wife, Christina, and their three children.
Kaleb Williams
Advertising Review Officer
Kaleb is an Advertising Review Officer at Key Bridge Compliance, LLC. Kaleb previously worked as a Senior Compliance Associate at The Colony Group, LLC, an investment advisory firm with over $20 billion in assets where he worked primarily on marketing review and trade surveillance. Prior to that, he served as a Compliance Analyst at ACA Group where he assisted clients with marketing review, Code of Ethics, and expert network chaperoning. He graduated from Waynesburg University with a BA in Psychology, Rasmussen University with a Paralegal Certificate and is currently completing an MA in Communication from Liberty University. He currently lives in Frederick, MD with his wife.
- (513) 562-1669
- 36 W Pike St.
Covington, KY 41011
Kaley Mitts
Director of Client Service
Kaley serves as the Director of Client Service for Key Bridge Compliance. In this role, Kaley makes sure clients are receiving the highest quality service from our service teams. Kaley originally joined us from Graydon Compliance Solutions, LLC as a Compliance Officer and she uses her compliance and operations background to understand the needs of our clients. Kaley has previously spent time in various operations and investment-related roles with Broker-dealers and RIAs. Prior to joining Graydon Compliance Solutions, Kaley worked supporting Financial Advisors at several different Broker-Dealers and Registered Investment Advisers, including Fidelity, TIAA-Cref and RW Baird, where she obtained the series 7, 63, & 66 licenses. In her various roles, Kaley oversaw the client/advisor relationship, managing operations, trading and client communications. After joining Graydon Compliance Solutions in 2018, Kaley has been working with investment advisors compliance programs, primarily responsible for the day-to-day operations of clients compliance programs. Kaley graduated from the University of Kentucky in 2011 with a Bachelor of Science Degree in Business Marketing. Kaley resides in Northern Kentucky with her husband, Kevin, along with their two young sons and golden retriever.
Kate Pence
Administrative Assistant
Kate Pence is the Office Administrator at Key Bridge Compliance. Kate is proficient in handling a wide range of administrative tasks, from managing schedules and coordinating meetings to overseeing office supplies and maintaining records. Her communication skills, both written and verbal, ensure clear and effective communication with team members and clients.
Kate strives to foster a positive and collaborative work environment, building strong working relationships with colleagues, promoting teamwork, and contributing to an inclusive workplace culture.
Kate graduated from the University of Cincinnati with a Bachelor of Arts in Communication, minor in Marketing, and certificate in Public Relations. She previously worked for Northwestern Mutual, where she managed the Network Office of 200 employees while assisting the Chief Operating Officer and Managing Partner. Kate currently resides in Covington.
- (513) 278-3639
- 36 W Pike St.
Covington, KY 41011
Keisha Nakwa
Director of Talent and Culture
Keisha Nakwa brings over 12 years of comprehensive human resources expertise to her role as Director of Talent and Culture at Key Bridge Compliance. Her career spans diverse industries, including IT Consulting, Engineering, Finance, and Compliance, providing her with an understanding of the unique challenges and opportunities each sector presents.
As a strategic HR leader, Keisha derives satisfaction from aligning people and strategies with business objectives. Her passion lies in guiding companies towards optimal performance through the implementation of robust performance management, talent management, and customized people strategies. Keisha is adept at cultivating and nurturing workplace cultures that foster engagement, innovation, and sustained success.
Keisha holds a Bachelor of Arts degree from Xavier University, where she studied English. As a certified professional with the Society for Human Resource Management (SHRM), Keisha demonstrates a commitment to staying at the forefront of HR best practices and industry trends. She is not only dedicated to advancing the strategic goals of Key Bridge Compliance but also to contributing to the professional growth and development of the broader HR community.
Keisha resides in Cincinnati and is located in our Covington, KY office.
- kmeans@kbc.team
- 36 W Pike St.
Covington KY 41011
Kendra Means
Consultant, Compliance Services
Kendra joins Key Bridge with a deep-rooted history of supporting financial advisors and all facets of their client’s service needs. With over 9 years’ experience in the financial services industry, she has worked for firms with over $425M and $9B in assets under management, respectively. Kendra is well versed in handling high net worth clients including complex confidentiality and servicing. She worked directly with a variety of investment advisors in managing their client’s money, maintained accounts in an organized manner, kept thorough books and records, and collaborated with third-party compliance firms. Kendra has partnered with CPA’s, legal counsel and other financial professionals for regulatory reporting. Further, Kendra has comprehensive experience with restricted securities that required working with legal counsel, transfer agents and directly with the client. She enjoys spending time with family and friends especially summer days at Lake Cumberland.
- kjames@kbc.team
- 36 W Pike St.
Covington KY 41011
Kennedy James
Sr. Compliance Analyst, Compliance Support
Kristin Prieur
Director, Compliance Services
Kristin Prieur is a Director of Compliance Services with Key Bridge Compliance. Kristin began her journey in financial services in 2000, starting in operations and quickly became involved in many aspects of the business, including trading, portfolio management, and financial planning. Eventually, she worked her way into management and compliance, where she served as CCO of an Independent SEC-Registered RIA. She found her true niche to be in the regulatory realm and shifted her career to consulting. Kristin is passionate about helping clients set their firms up for success by aligning their business practices with ever-changing rules and regulations.
Kristin holds the IACCP® (Investment Advisor Certified Compliance Professional), CRPC® (Chartered Retirement Planning Counselor), and AAMS® (Accredited Asset Management Specialist) designations and has passed the FINRA Series 66 and 7 examinations. She earned her BA from the University of Michigan-Flint and is currently attending Oakland University’s Financial Planning (CFP®) program. Outside of Key Bridge, Kristin is an advocate for social justice and women’s empowerment. She serves on the Board of Directors for several organizations supporting these causes, including the YWCA Greater Flint and Flint Women’s Forum. Kristin is also a Registered Yoga Teacher with Yoga Alliance and enjoys spreading her love of ashtanga and vinyasa with her students in her spare time.
- (469) 755-6010
- Dallas, TX
Lauren Hein
Director of Advisor Relations & Distribution
Lauren Hein is the Head of Advisor Relations and Distribution at Key Bridge Compliance. She brings over a decade of asset management distribution experience to the firm. Most recently she served as the Head of Advisor Relations and Director of Sales for ROBO Global, an index and advisory firm providing financial professionals with ways to invest in innovative, disruptive technologies. She has previously worked for State Street Global Advisors, First Trust Portfolios, and Global X ETFs and has worked with advisors and firms across the spectrum of the US financial services landscape. Lauren graduated from Wheaton College where she received her BA in Economics. She holds FINRA licenses series 7 and 66. A native of Ohio, Lauren currently resides in Dallas, TX, and serves as the President of the Junior Board for the Dallas Symphony.
- lward@kbc.team
- 202-963-068
Lisa Ward
Director of Marketing Review
Lisa Ward is the Director of Marketing Review at Key Bridge Compliance, LLC. Lisa will be reviewing the marketing materials for Key Bridge Compliance. Lisa has previously worked at the SEC as an examiner for investment advisors and investment companies. She was a Director of Compliance for an investment advisory firm with assets exceeding $6 billion. Lisa also worked as a senior auditor for Bank of America where she conducted internal audits of the investment group and private bank. Lisa graduated from Seton Hall University with a BS in Accounting. She lives in Huntsville, AL with her husband.
- lchalfant@kbc.team
- (513) 230-2730
- 36 W Pike St.
Covington, KY 41011
Luke Chalfant
Senior Consultant, Compliance Services
Luke Chalfant is a Senior Consultant at Key Bridge Compliance, LLC and has been a pillar that many other colleagues and clients can rely on. He has extensive knowledge within the compliance field, a knack for communication, and is constantly looking for new ways to improve various regulatory filing processes within the firm. Further, Luke founded the Key Bridge Compliance Book Club, where every month a new book is decided upon and then later discussed in depth. Luke graduated from the University of Cincinnati College of Law after earning a B.S. in Marketing and Analytics from the Lindner College of Business. When not studying the legal and financial industries to further improve his compliance skills, Luke enjoys skiing in the winters, rock climbing in the summers, and playing board games all year round.
- mgmonzel@kbc.team
- 36 W Pike St.
Covington KY 41011
Mary Grace Monzel
Consultant, Compliance Services
Having worked within the business industry and legal field, Mary Grace became motivated to combine her backgrounds to put her skills to work. Within her experience throughout college and law school, she has served as an article editor for the University of Cincinnati Law Review, worked side by side as a judicial extern, and dove headfirst into commercial court law in Indiana. Outside of work, Mary Grace is extremely passionate about helping others within her community, traveling, and being outdoors. She received her B.S from the Ohio State University, her MBA from Ohio University, and her JD from Cincinnati College of Law. Mary Grace loves the outdoors, traveling, and her friends and family. Passionate about helping others, she aspires to continue to use her experiences to get involved and to create lasting connections in her community. Mary Grace received her B.S. in Journalism from the Ohio State University, then moved on to receive her MBA at Ohio University, and completed her JD with the University of Cincinnati College of Law.
Matt Giggey
Director, Compliance Services
Matt has twenty years of experience within the financial industry. He began his career in mutual fund operations at a large investment manager in Boston, where he quickly developed an interest in regulatory compliance. Matt’s natural curiosity and dedication to his work led him to take on increasingly challenging compliance roles, most recently as an Investment Advisor Consultant at ACA Global. Matt received his Bachelor’s in Business Administration from Merrimack College and currently lives in the Portland, ME with his fiancé and two daughters.
- mswendiman@kbc.team
- (859) 468-7044
- 36 W Pike St.
Covington, KY 41011
Matthew A. Swendiman
Chief Executive Officer
Matt began his investment management career in 1996, starting in the as a transfer agent of BISYS (now Citi) Fund Services. Thereafter, he served as counsel to multiple institutional investment management firms, then as an investment management associate in the Washington, DC office of K&L Gates, an international law firm.
In 2006, Matt joined Fifth Third Bank in Cincinnati, OH, where he served as the Chief Administrative Officer for Fifth Third’s institutional investment management business and Secretary and Chief Legal Officer to the Fifth Third Funds, a mutual fund trust with twenty-four series. Additionally, he provided legal support to Fifth Third’s broker-dealer, insurance, and custody operations. While at Fifth Third, Matt earned his CFA charter.
Following a stint as COO to a $500 million Cincinnati-based RIA, Matt founded Graydon Compliance Solutions (GCS), LLC, an outsourced compliance consultancy offering services to RIAs across the United States and in the United Kingdom. Matt is now the Chief Executive Officer of Key Bridge Compliance, LLC (the successor to GCS).
Matt has earned his BA in Political Science, as well as his JD, from The Ohio State University. He has also earned his LLM in Insurance Law from the University of Connecticut.
Matt is proud to serve on the President Advisory’s Council (PAC) at Xavier University, as well as on the Investment, Audit, and Finance Committees for St. Elizabeth Healthcare, and is Chair of the Samaritan Committee for St. Elizabeth Foundation. Matt and his wife Jen live in Park Hills, KY, and they are proud parents to three children.
- ngoff@kbc.team
- 36 W Pike St.
Covington, KY 41011
Nicole Goff
Consultant, Compliance Services
Nicole Goff serves as a Consultant at Key Bridge Compliance. Nicole has worked in various banking roles, though her passion is auditing, which she loves due to its ever-evolving nature. Most recently, Nicole served as a Senior Securities Analyst at Fifth Third Bank where she led her settlement analyst team. The role involved working closely with portfolio managers, identifying trade discrepancies, and mitigating the risks related to the trade life cycle. Nicole graduated from Wilmington College with a Bachelor’s of Science in Business Management. She is currently working towards earning her M.B.A. Nicole lives in Cincinnati with her husband and three children.
Rodrigo Diaz
Compliance Intern
Rodrigo Diaz is a Compliance Intern at Key Bridge Compliance. As a Junior at the University of Cincinnati majoring in Finance, Rodrigo is passionate about creating new experiences and expanding his skillsets. He is eager to broaden his knowledge of financial services, focusing on Compliance. Rodrigo was born in Honduras and has experience working with several departments at the University. He also played tennis throughout high school and achieved the #1 ranking in Honduras.
Ryan Westerbeck
Consultant, Compliance Services
Ryan Westerbeck is a Consultant at Key Bridge Compliance, LLC. Previously, Ryan worked as a Senior Compliance Analyst at ACA, where he worked primarily on Code of Ethics administration. Ryan is a graduate of the University of Dayton and the University of Cincinnati where is received a Bachelors and Masters degree in History. Ryan has passes the SIE and lives in Cincinnati, OH.
- Washington, DC
Stacy Fleming
Director, Compliance Services
Stacy Fleming is a Director at Key Bridge Compliance, bringing 15 years of industry experience and a passion for integrating risk-based compliance into business-focused programs. Stacy provides advice that is strategic and works with clients to develop comprehensive compliance programs that reflect regulatory requirements and industry best practices. She began her career at Goldman Sachs in Private Wealth Operations and prior to KBC was a Senior Vice President at Kroll advising Private Fund managers. She has worked at ACA Group as a Principal Consultant for Wealth and Hedge Fund managers and served as in-house Compliance Officer at Edelman Financial Engines and CAPTRUST. Stacy graduated from Manhattan College with a Bachelor of Science in economics and business administration. She is an avid yogi, enjoys traveling and spending time with her husband and 3 children.
- sschmidt@kbc.team
- (859) 203-4734
- 36 Pike St.
Covington KY 41011
Sarah Schmidt
Consultant, Compliance Services
Sarah Schmidt is a Consultant at Key Bridge Compliance, supporting clients with their compliance programs, focusing on the RIA landscape. She holds a Bachelor’s of Science in Environmental Studies from the University of Cincinnati, with a minor in paralegal studies. Sarah is currently a student at Penn State University and is expected to complete her Master’s of Business Administration in 2026.
Prior to joining Key Bridge, Sarah worked for Keating, Muething, and Klekamp, PLL within the Information Resource Center conducting legal research and managing the firm’s CLE program.
Sarah is known for her ambition to make a positive impact in Cincinnati. Outside of work, she enjoys volunteering with the Cincinnati Parks, running half marathons, cultivating her collection of indoor plants, and spending time with her labradoodle, Casper.
- 36 W Pike St.
Covington, KY 41011
Tanya Olvera
Director, Compliance Services
- tgray@kbc.team
- 36 W Pike St.
Covington, KY 41011
Terence Gray
Consultant, Compliance Services
Terence Gray is a Consultant for Key Bridge Compliance. Terence has worked in the financial services industry for over 15 years and has served in roles as a Contracting, Licensing, & Registration Specialist, Compliance Analyst, and Compliance Associate for various Broker/ dealers, Registered Investment Adviser Firms, and Life & Annuity Insurance Companies. Most recently, Terence role as a Compliance Associate involved working with Registered Investment Advisers to conduct due diligence over Adviser Onboarding & Licensing, Form U4, U5 filings, and ADV Part 1 and 2B reviews and amendments. Terence’s responsibilities also extended to Annual Branch Audits, Email, Marketing, and Social Media Reviews. Terence is a Graduate of Cincinnati State College and Xavier University in Cincinnati, OH.
Thomas Kerney
Director, Compliance Services
Thomas Kerney is a Director for Key Bridge Compliance with over 17 years of experience in the financial services industry. Before joining Key Bridge, he served as a leader of a turnkey asset management platform. Previously, Thomas was the President, CCO, and CFO (FINOP) of Hanover Securities, a full-service investment bank focused on capital markets for small and medium-sized businesses. In this role, he managed the broker-dealer’s regulatory relationships, supervision, due diligence, and partnerships. Thomas also launched a consulting practice that worked with asset managers on corporate strategy, mergers & acquisitions, operations, risk management, and regulatory compliance.
Thomas has the FINRA Series 4, 7, 24, 27, 53, 57, 65, 66, 79, 99, and SIE. He is an Enrolled Agent (EA) admitted to practice before the Internal Revenue Service and a licensed real estate managing broker. He has obtained the Investment Adviser Certified Compliance Professional (IACCP®) and Certified Investment Management Analyst® (CIMA®) designations. Thomas earned his Master of Business Administration from The University of Chicago Booth School of Business and a Bachelor of Science in Small Business Administration from Northern Arizona University.
Torian Johnson
Director, Compliance Services
Torian Johnson is a Director for Key Bridge Compliance, with over 15 years industry experience. Prior to Key Bridge, Torian served as Chief Compliance Officer for two separate firms from in 2019 to 2024. In these capacities, he was responsible for overseeing implementation and execution of the firm’s day-to-day compliance activities, testing and execution of remediation reports, and registration and licensing process. He’s credited with creating policies and procedures, orchestrating the business’s code of ethics and employee trading procedures, and collaborating with business lines on the development and rollout of new services such as a web enabled financial advisory service, offered to retirement plan participants. Before that, he worked as the Compliance Coordinator at Global Financial after beginning his financial services career at Raymond James, starting out in Securities Operations – and rising through the ranks to the Branch Supervision team.
Torian earned his Bachelor of Science in Economics and Business at Lafayette College in Easton, PA, where he also played football as a Defensive Back. Since entering the workforce, he has achieved several professional licenses including the Series 7, Series 24, and the Series 66.
