Patrick J. ZichtermanAssociate
Patrick Zichterman, an associate attorney with Parker MacIntyre’s Regulatory Practice Group, represents individuals, broker-dealers, and investment advisers in compliance, regulatory, and enforcement matters. Mr. Zichterman primarily focuses on providing compliance-related guidance and services to Registered Investment Advisers (RIAs) and Broker-Dealers (B-Ds) and their representatives. Throughout his time at Parker MacIntyre, he has assisted clients with reviewing, revising, or drafting compliance manuals, policies and procedures, advisory agreements, corporate documents, and business continuity plans. He advises clients on disclosure obligations, including Form ADV Parts 1, 2 and 3, Form ADV-W, Forms U4 and U5, and Form 13F filings. Mr. Zichterman has also been involved in various stages of federal administrative and litigation proceedings, including FINRA customer complaints and representing advisers before the SEC in its Share Class Selection Disclosure Initiative. Mr. Zichterman regularly attends regulatory and compliance conferences, such as those hosted by the National Society of Compliance Professionals, and recently spoke at the firm’s compliance seminars for registered investment advisers on the topics of diminished capacity, business continuity and disaster recovery. In order to stay current with developments in securities rules and regulations, Mr. Zichterman frequently reviews and researches industry news and releases.
Mr. Zichterman received a Bachelor of Arts degree from the University of Colorado in Boulder and earned a Juris Doctor in 2015 from the University of Georgia School of Law in Athens. During both his second and third year of law school, Mr. Zichterman interned with the Enforcement Division at the Atlanta Regional Office of the U.S. Securities and Exchange Commission, which provided him with valuable insight into the industry. While at UGA Law, Mr. Zichterman also served as Notes Editor for the Journal of Intellectual Property Law and participated in Civil Externships, Public Interest Practicums, and Student Bar Association events, and often led tours as a Dean’s Ambassador. Prior to joining Parker MacIntyre, Mr. Zichterman worked at a general practice law firm in Atlanta, where he gained experience in litigation and various other topics through active participation in all stages of cases involving commercial disputes, labor and employment issues, insurance, and consumer and collection laws, among others. Patrick represented clients in a number of business dispute mediations and an arbitration related to a partnership dispute involving complex valuation issues. He also assisted clients with estate planning, family law disputes, debtor-creditor laws, and real estate laws.
Mr. Zichterman is licensed to practice law in the states of Georgia, Colorado, Connecticut, and North Carolina. He is a member of the Business Law Sections of the State Bars of Georgia and Colorado and is admitted to practice before the State and Superior Courts of Georgia, the Georgia Court of Appeals, the Northern District of Georgia, the Supreme Court of Colorado, and the Superior Courts of Connecticut. In his spare time, Mr. Zichterman spends time volunteering on build days for Habitat for Humanity, and enjoys exploring the outdoors, playing or watching sports, and spending time with his dog, Charlie.