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Asgard Regulatory Group, LLC Employee Directory

Financial ServicesNew York, United States11-50 Employees

Asgard Regulatory Group, LLC operates in the financial services sector, focusing on regulatory compliance, business advisory services, and related audit and special project work. Its client base includes broker-dealers, investment advisers, and hedge funds, for whom it helps address regulatory obligations under SEC, FINRA, MSRB, and other government rules. The firm's work supports clients in achieving regulatory readiness and managing compliance-related risk.

Based in Holbrook, New York, Asgard operates as a smaller professional services firm focused on niche compliance and advisory work within the financial services industry. The company provides access to regulatory expertise through project-based engagements and ongoing advisory support. More information is available on its website at asgardcompliance.com.

Find Asgard Regulatory Group, LLC employees' phone numbers or email addresses

Asgard Regulatory Group, LLC Global Highlights

Location
Employees

North America
14

Minus sign iconPlus sign icon
  • United States Of America
    14

Asgard Regulatory Group, LLC's Leadership

  • Head Of Human Resources And Operations at Asgard Regulatory Group, LLC
    T. T.
    Head Of Human Resources And Operations
    Mobile Phone
  • Senior Associate Director at Asgard Regulatory Group, LLC
    A. K.
    Senior Associate Director
    Mobile Phone
  • Managing Director at Asgard Regulatory Group, LLC
    P. K.
    Managing Director
    Mobile Phone
  • Non Executive Director at Asgard Regulatory Group, LLC
    J. H.
    Non Executive Director
    Mobile Phone
  • Senior Advisor at Asgard Regulatory Group, LLC
    A. P.
    Senior Advisor
    Mobile Phone
  • Senior Compliance Associate at Asgard Regulatory Group, LLC
    S. B.
    Senior Compliance Associate
    Mobile Phone
  • Regulatory Auditing Specialist at Asgard Regulatory Group, LLC
    D. S.
    Regulatory Auditing Specialist
    Mobile Phone
  • Managing Director, Compliance And Risk Management at Asgard Regulatory Group, LLC
    E. T.
    Managing Director, Compliance And Risk Management
    Mobile Phone

Asgard Regulatory Group, LLC Employee Metrics

100%
50%
0%
2026
2025
  • Banking
  • Human Resources
  • Other
  • Legal

Contact profiles from Asgard Regulatory Group, LLC

Name
Title
Contact
Location
Last Update
  • Head Of Human Resources And Operations at Asgard Regulatory Group, LLC
    T. T.
    Head Of Human Resources And Operations
    Mobile Phone
    United States, New York
    Feb 21, 2025
  • Senior Associate Director at Asgard Regulatory Group, LLC
    A. K.
    Senior Associate Director
    Mobile Phone
    United States, New York
    Apr 14, 2026
  • Managing Director at Asgard Regulatory Group, LLC
    P. K.
    Managing Director
    Mobile Phone
    United States, New York
    Apr 16, 2026
  • Non Executive Director at Asgard Regulatory Group, LLC
    J. H.
    Non Executive Director
    Mobile Phone
    UNITED STATES
    Jun 08, 2026
  • Senior Advisor at Asgard Regulatory Group, LLC
    A. P.
    Senior Advisor
    Mobile Phone
    United States, New York
    Oct 18, 2024
  • Senior Compliance Associate at Asgard Regulatory Group, LLC
    S. B.
    Senior Compliance Associate
    Mobile Phone
    United States
    Jun 01, 2026
  • Regulatory Auditing Specialist at Asgard Regulatory Group, LLC
    D. S.
    Regulatory Auditing Specialist
    Mobile Phone
    United States, New York
    Mar 24, 2026
  • Managing Director, Compliance And Risk Management at Asgard Regulatory Group, LLC
    E. T.
    Managing Director, Compliance And Risk Management
    Mobile Phone
    United States, New York
    Feb 11, 2026
  • Senior Associate Director, Compliance And Risk Management, Cams & Information Security Officer at Asgard Regulatory Group, LLC
    O. S.
    Senior Associate Director, Compliance And Risk Management, Cams & Information Security Officer
    Mobile Phone
    United States, New York
    Mar 25, 2026
  • Director, Investment Advisor Services at Asgard Regulatory Group, LLC
    J. M.
    Director, Investment Advisor Services
    Mobile Phone
    United States, New Jersey
    Apr 16, 2026

Frequently Asked Questions

What is Asgard Regulatory Group, LLC known for?

Minus sign iconPlus sign iconAsgard Regulatory Group, LLC was founded in 2008 and operates in the Financial Services industry. You can contact Asgard Regulatory Group, LLC's main corporate office by phone at
+1-631-801-****
. Explore Asgard Regulatory Group, LLC's company overview page for more information.

What is Asgard Regulatory Group, LLC's most common email format?

Minus sign iconPlus sign iconAsgard Regulatory Group, LLC employees' email format typically follows the pattern of FLast@asgardcompliance.com. Trying to find reliable and up-to-date employee contact data? Find more Asgard Regulatory Group, LLC email formats with LeadIQ.

How many employees does Asgard Regulatory Group, LLC have currently?

Minus sign iconPlus sign iconAsgard Regulatory Group, LLC has approximately 20 employees as of August 2026. These team members are located across 1 continents, including North America.

Who are Asgard Regulatory Group, LLC's key employees and leadership?

Minus sign iconPlus sign icon

As of August 2026, Asgard Regulatory Group, LLC's key employees include:

  • Head Of Human Resources And Operations: T. T.
  • Senior Associate Director: A. K.
  • Managing Director: P. K.
  • Non Executive Director: J. H.
  • Senior Advisor: A. P.

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