Brian Hamburger

Brian S. Hamburger is an American attorney, entrepreneur, and author [1] who is the founder, president and chief executive officer of MarketCounsel, a business and regulatory compliance consulting firm. He is also the founder and managing member of the Hamburger Law Firm, both in Englewood, New Jersey.[2]

Biography

Hamburger's story was reported by trade publications, ThinkAdvisor,[3] and later the cover story of REP Magazine.[4]

Hamburger received his undergraduate degree from Quinnipiac College 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. Hamburger was among the first to earn the designation of Certified Regulatory and Compliance Professional (CRCP)[5] by the Wharton School and the FINRA Institute after completing his residency at the Wharton School of the University of Pennsylvania. He was also 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."[6]

Hamburger was previously an attorney with the securities practice group of Stark & Stark, a large New Jersey law firm.[7] While there, he practiced in the area of securities law, concentrating in registered 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 has experience as a judicial intern at the U.S. District Court for the Southern District of Florida and the Florida Third District Court of Appeal, as well as serving as the chief compliance officer of an SEC-registered investment adviser.

Advocacy, boards and speaking

Brian has been involved in the movement of financial advisors breaking away from big wirehouses and creating their own fee-only independent advisory firms.[8] For years, he has lobbied members of Congress in support of independent investment advisers.[9] He has been quoted as a source in publications regarding the business of independent investment advice, the movement of brokers to an advice model, and general regulatory compliance concerns for registered investment adviser, including the Wall Street Journal,[10] InvestmentNews,[11] RIABiz,[12] among others. In addition, Hamburger is a columnist for Financial Advisor.[13] He is admitted to the bars of New Jersey, New York, Pennsylvania, Massachusetts, the District of Columbia, as well as the U.S. Supreme Court.[14] Brian also heeded the call of the Certified Financial Planner Board of Standards and various industry boards and task forces to shape industry-wide initiatives.

Hamburger is a frequent lecturer [15] to national groups in the securities industry including members of the wealth management, investment management, and financial planning professions.[16] 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 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. Hamburger 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.

Conferences

Launched by Hamburger in 2007, the MarketCounsel Summit is an annual gathering of independent investment advisors and industry leaders that focuses exclusively on solutions for realizing the entrepreneurial opportunity in an ever-changing and highly regulated environment. Hailed as one of the industry’s “elite conferences,” each year offers the opportunity to gain critical knowledge, share novel insights and perspectives, and network with industry leaders.[17] In December 2013 at the MarketCounsel Summit, Hamburger brought together on stage (for the first time) former Senate Banking Committee Chairman Christopher J. Dodd (D-Conn.) and former House Financial Services Committee Chairman Barney Frank (D-Mass.),[18] the architects of the historic Dodd-Frank Wall Street Reform and Consumer Protection Act, to address the act's intended and actual impact on business and the economy.[19] The lineup of headliners for the MarketCounsel Summit 2014 include Mark Cuban, Christopher Cox, Sallie Krawcheck, Harvey Pitt, Eliot Spitzer and Ron Insana.[20]

Charitable

In 2002, Hamburger launched the MarketCounsel Foundation.[21] This philanthropic endeavor works to support the independent investment adviser movement through research, advocacy, and awareness. The MarketCounsel Foundation is a direct supporter of innovative financial education, and is leading an effort to provide support, mentoring, and placement to would-be entrepreneurs who, regardless of race or ethnic origin, can demonstrate through a history of socio-economic, educational, or cultural experiences that they have been disadvantaged.[22]

Personal

Brian was born in Charlotte, North Carolina, was raised in Leonia, New Jersey, and lives in Cresskill, New Jersey as a single father of three children. He is an active member of the U.S. Coast Guard Auxiliary.

References

  1. ↑ http://www.fa-mag.com/news/what-s-good-for-the-goose-14665.html
  2. ↑ "Archived copy". Archived from the original on 2010-11-24. Retrieved 2013-09-27.
  3. ↑ Bob Clark (October 1, 2008). "The Real Deal". Think Adviser. Retrieved August 8, 2014.
  4. ↑ Diana Britton (June 30, 2014). "The Engineer". REP Magazine. Retrieved August 8, 2014.
  5. ↑ http://www.finra.org/Industry/Education/UniversityPrograms/FINRAInstitute/
  6. ↑ http://www.fi360.com/products-services/designations-overview/aifa-designation
  7. ↑ http://www.linkedin.com/in/hamburger
  8. ↑ Evan Simonoff (February 1, 2011). "Exodus". Financial Advisor. Retrieved August 8, 2014.
  9. ↑ Melanie Waddell (November 1, 2011). "Unfinished Business: Advisors Debate Fiduciary Standard, SRO". Think Advisor. Retrieved August 8, 2014.
  10. ↑ http://blogs.wsj.com/wealth-manager/2010/03/11/voices-brian-hamburger-on-the-upside-of-independence/
  11. ↑ http://www.investmentnews.com/article/20111013/FREE/111019958
  12. ↑ http://www.riabiz.com/t/44150
  13. ↑ http://www.fa-mag.com/news/what-s-good-for-the-goose-14665.html
  14. ↑ http://www.avvo.com/attorneys/07631-nj-brian-hamburger-1592552.html
  15. ↑ "Archived copy". Archived from the original on 2008-07-19. Retrieved 2013-09-27.
  16. ↑ https://media.cpa2biz.com/Publication/Conference%20Materials/07_PFP_Brochure_FINAL_R1.pdf[]
  17. ↑ http://wealthmanagement.com/business-planning/gallery-eight-ideas-heard-around-marketcounsel-summit
  18. ↑ http://www.investmentnews.com/article/20130403/FREE/130409982
  19. ↑ http://www.fa-mag.com/news/christopher-dodd-and-barney-frank-are-joint-keynote-speakers-at-marketcounsel-s-annual-conference-13837.html
  20. ↑ Lisa Shidler (June 11, 2014). "How Brian Hamburger won speaking commitments from Mark Cuban, Sallie Krawcheck and Eliot Spitzer without throwing money at the challenge". RIA Magazine. Retrieved August 8, 2014.
  21. ↑ http://www.marketcounsel.org
  22. ↑ http://www.guidestar.org/organizations/20-0109044/marketcounsel-foundation.aspx

External links

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