Mr. Chism brings more than twenty years of experience leadership in Financial services management compliance to the firm and serves as Chief Compliance Officer for Dakota Investments. Prior to his current role, Mr. Chism supported the Dakota organization in various compliance capacities for nearly a decade.

Patrick is a managing director at Vigilant Compliance, and he is responsible for overseeing compliance programs, supervisory controls, regulatory reporting, and adherence to SEC and FINRA requirements across Vigilant’s Broker Dealer, multiple Registered Investment Advisers (RIAs), and Mutual Funds.

In addition, Mr. Chism serves on Vigilant’s Management Committee and leads the firm’s Broker Dealer Solutions division. He works closely with Vigilant’s experienced team of CCOs and financial operations professionals while also supporting the firm’s Broker Dealer Registration division.

Previously, he held key compliance and supervisory roles at major firms including Prudential Securities, Merrill Lynch, and UBS Financial Services. At UBS, he managed compliance functions for a $24 billion complex encompassing more than 70 financial advisors, with responsibilities that included oversight of client accounts and operations, supervision of trading activities, marketing reviews, and specialized examinations of complex products and financial advisor conduct.

Patrick holds numerous FINRA licenses, including Series 24 (General Securities Principal), Series 7 (General Securities Representative), Series 9 and 10 (General Securities Sales Supervisor), Series 66 (Uniform Combined State Law), and Series 99 (Operations Professional). He also maintains life and health insurance licenses. He earned his bachelor’s degree from Texas A&M University and remains active with the university’s Association of Former Students.