Team

Ernie Kappotis:
ekappotis@intersourcecg.com
978-335-7015

Don Pollard:
dpollard@intersourcecg.com
(631)721-3541

Don Pollard

(CEO/Remote CCO)

dpollard@intersourcecg.com
(631)721-3541

Don Pollard, based in New York, serves as the Chief Executive Officer of Intersource Consulting Group LLC overseeing Compliance and Business Development. An experienced executive with over 25 years in the financial services industry, Don was an integral player in the development of Quick & Reilly's on-line trading platform, revolutionary at its time. He was also instrumental in establishing the compliance structure around Reilly's technological platform.

A business graduate of St. Joseph's College, Don has also held management roles with E*Trade, Oppenheimer and Smith Barney. He holds the FINRA Series 24, 7, 63, 4 and 8 Licenses.

Don primary role with Intersource is to serve as Remote Chief Compliance Officer ("CCO") for broker- dealer clients. However, he also fulfils the role of Compliance Consultant for other broker-dealer clients.

In his free time, Don enjoys supporting his youngest daughter on the girls' softball field and encouraging his two older daughters in their educational and professional aspirations. Don also enjoys tinkering with his boat in the summer.

Ernie Kappotis

(CFO/Remote FINOP)

ekappotis@intersourcecg.com
978-335-7015

Ernie Kappotis, based in Greater Boston, is the Chief Financial Officer of Intersource Consulting Group LLC where he serves as Remote FINOP for broker-dealers. With 14 consecutive years of financial services (broker-dealer) experience (11 of which as a Licensed FINOP), Ernie provides the analytical and regulatory edge your firm needs to properly structure its financials and stay in capital compliance. Over the past 11 years, he has served as FINOP for 9 different broker-dealers.

A former FINRA Examiner in Boston, Ernie has conducted several financial examinations of broker- dealers. Now on the other side of the table as Remote FINOP, he guides Intersource's clients through regulatory exams with the backdrop of rule precedence and interpretation. He holds the FINRA Series 27 and 7 licenses along with the NASAA Series 66 Investment Adviser license.

Happily married to his lovely wife, Ernie is a magna cum laude graduate of Boston College's Carroll School of Management and he still enjoys watching and attending Boston College Football games.

 

Patrick McKeon JD, CFP

Litigation Consulting

Expert proficiency in strategy formulation, regulatory compliance management, and new
business development. Regulatory expertise and analytical talent immediately transferable to leadership positions as senior manager or executive consultant. Comprehensive understanding of sophisticated investment vehicles and financial structures gained from over 13 years with Financial Industry Regulatory Authority, Inc. (FINRA). JD/MBA/Certified Financial Planner; Certified Hedge Professional (CHP)

Patrick received his J.D. from New England School of Law an M.B.A from Fairleigh Dickinson University and a B.S. in Finance from Fairfield University.

Boston Bar Association, Massachusetts Bar Association, American Bar Association

Professional Associations & Memberships: The Hedge Fund Group; Certified Financial Planner Board of Standards, Inc Professional Associations & Memberships: The Hedge Fund Group; Certified Financial Planner Board of Standards, Inc

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