Kevin Maas brings more than 30 years of legal, regulatory, and compliance expertise to his work with banks, trust organizations, registered investment advisors, and broker dealers. At Pohl Consulting and Training, he helps financial institutions find business opportunity within highly regulated environments, turning compliance complexity into competitive advantage rather than operational burden.
His career includes executive leadership roles at two major financial services organizations. At PrimeVest Financial Services (now Cetera Investment Services), he served in multiple senior roles over 14 years, including General Counsel, Chief Compliance Officer, Director of Investment Advisory, and Director of Strategic Initiatives. He subsequently served as President and CEO of ING National Trust, an OCC-chartered trust bank offering personal trust services, IRA products, and retirement plans.
At Pohl Consulting and Training, Kevin’s work spans profitability consulting, risk assessments and remediation, compliance support, and the intersection of banking, FINRA, and SEC regulation in wealth management contexts. He has particular expertise in bank and broker dealer networking arrangements, the application of SEC Regulation R in bank settings, and the sharing of trust personnel with broker dealer operations.
Kevin is a recognized speaker at financial services conferences on legal and regulatory topics affecting wealth management organizations. He is the author of articles and white papers on wealth management regulation, including the application of SEC Regulation R and related bank and broker dealer compliance issues.
He holds a Juris Doctorate from Mitchell Hamline School of Law, where he served as Associate Editor of the Law Review, and a Bachelor of Science in Education from South Dakota State University. He holds FINRA Series 7 and Series 24 registrations.
