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Brian Hamburger is the Founder and Managing Member of the Hamburger Law Firm.
Brian is also the Founder and Managing Director of MarketCounsel, an affiliated
business, regulatory, and compliance consulting firm for entrepreneurial
investment advisory firms nationwide. MarketCounsel and the Hamburger Law Firm
are the result of an incessant entrepreneurial spirit and genuine desire to
provide an unexpected level of value and service. Together, the consulting and
law firms represent an unparalleled combination of preeminent counsel and
uncompromising service to participants in the retail securities industry.
Previously, Mr. Hamburger was an attorney with the securities practice group of
a large New Jersey law firm. While there, he practiced in the area of securities
law, concentrating in investment adviser and broker-dealer registration and
compliance matters as well as broker transition and practice management issues.
Prior to that post, Brian served as a law clerk in the Enforcement Division of
the U.S. Securities & Exchange Commission. He was also a judicial intern at the
U.S. District Court for the Southern District of Florida and then, the State of
Florida Third District Court of Appeal. Earlier, Brian was the chief compliance
officer of an SEC-registered investment adviser. In addition to his father's
lifelong influence, Brian’s involvement in the securities industry started
before he could even drive a car. Since then, he has been involved in a myriad
of areas within the industry, posting a rich diversity of experiences with
investment adviser and financial planning firms.
Mr. Hamburger is admitted to the bars of New Jersey, New York, Pennsylvania,
Massachusetts, the District of Columbia, as well as the U.S. Supreme Court. He
is a member of the American Bar Association (Business Law Section) and other bar
associations; the Securities Industry and Financial Markets Association,
Compliance & Legal Division; National Society of Compliance Professionals;
Financial Planning Association; and Society of Financial Service Professionals.
Brian has been appointed to the American Bar Association’s Committees on Federal
Regulation of Securities; State Regulation of Securities; and Professional
Conduct; and is a Platinum and Gold Key Member of the New York Chapter of the
Investment Management Consultants Association and New Jersey Financial Planning
Association, respectively. He has also heeded the call of the Certified
Financial Planner Board of Standards to sit on various task forces to shape
industry-wide initiatives.
Brian is a frequent lecturer to regional and national groups in the securities
industry including members of the wealth management, investment management,
financial planning, accounting, and insurance professions. His forums have
ranged from delivering the keynote address to the country's state securities
regulators to addressing school-age children on career and entrepreneurial
issues. For the past several years, he has been engaged by the North American
Securities Administrators Association (NASAA) to train state securities
examiners on the intricacies of Form ADV and investment adviser client
contracts. Mr. Hamburger proudly sits on several boards of directors and
advisory boards. He maintains his FINRA securities licenses (Series 7, 63 and
65), is a member of the FINRA Dispute Resolution Board of Arbitrators and has served
as an arbitrator for the New York Stock Exchange.
A graduate of Quinnipiac College, Mr. Hamburger received his undergraduate
degree with the
school's first dual major in Economics and Financial Management. He went on to
earn his Juris Doctor from the University of Miami School of Law where he was
the recipient of a Dean’s Service Scholarship and the President's Pinnacle Award
for his role as Editor-in-Chief of the Res Ipsa Loquitur, the Bi-Weekly Journal
of the University of Miami School of Law. Brian was among the first to earn the
designation of Certified Regulatory and Compliance Professional (CRCP) by the
Wharton School and the FINRA Institute after completing his residency at the
Wharton School of the University of Pennsylvania. He was recently awarded the
Accredited Investment Fiduciary Analyst™ (AIFA®) designation by the Center for
Fiduciary Studies. AIFA designees have the knowledge necessary to understand and
implement a prudent investment process for investment advisers, investment
managers, and investment stewards and can perform a fiduciary assessment to
verify or certify an entity's conformity to a "global fiduciary standard of
excellence."
Brian is an active member of the US Coast Guard Auxiliary. He lives with his wife, Kari, their daughter, Ella, and sons, Jacob and
Sidney, in northern New Jersey.
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