Jeffrey A. Brandon
Executive Management Qualifications
Equipped with an extensive track record of success within the securities and brokerage industry, driving business development; building, leading, and empowering teams to succeed; and overcoming challenges to achieve positive results and corporate goals. Adept at developing innovative solutions and products, learning new concepts and technologies, and leveraging professional acumen to provide organizational vision and leadership. Possesses exceptional entrepreneurial, analytical, and communication skills. Security licenses held; Series 3, 4, 7, 8, 24, 53, 63, and 65. Served as an expert witness and/or consultant in over forty arbitrations, mediations or trials in the past five years.
Areas of Expertise
FINRA Arbitration/Litigation Consulting · Expert Witness Testimony · Due Diligence · Regulation D Private Placements · Tenant in Common Offerings · Derivatives Securities · Auction Rate Securities · Client Relations · Sales Management · Sales Force and Branch Management · Financial Consulting · Operations Management · Facilities Contract Management · Operations Management · P&L Responsibility · Investment and Money Management · Executive and Corporate Services · Corporate Cash Management · Project Management · Recruiting and Training/Development and Contract Negotiations · New Product Development
Due Diligence Services, LLC · Buckeye, AZ
1/2015 - Present
Co-Founder and Managing Member
We provide high quality due diligence investigations of private placement and private equity securities offerings. We investigate the people, the contracts, the balance sheet, the business and the products of companies seeking private investment capital.
JBrandonConsulting, LLC · Buckeye, AZ
12/2010 - Present
Owner and CEO
Independent contractor providing consulting services for FINRA arbitrations and securities legal proceedings. Knowledge based on over forty (40) years of brokerage firm experience in sales, supervision, compliance and executive management.
- Participated as a consultant and provided expert witness testimony in over forty cases
- Two depositions
- Testified on behalf of individual claimants and industry respondents
Perizia Seafood · Scottsdale, AZ
8/2011 - 5/2012
Served as a consultant CEO in forming and starting a seafood import and distribution business
Capital Research and Brokerage Services · Pasadena, CA
7/2010 - 8/2011
Series 7 representative marketing mutual funds to institutional and Broker/ Dealer clients.
Mortgages Ltd. Securities· Phoenix, AZ
Executive Vice President
Tasked with providing leadership to and developing retail and institutional sales, and compliance office. Directed the daily activities of the retail Broker/Dealer along with the President-Sales Manager. Oversaw the firm’s securities operations as well as the compliance department. Served as a member of the Executive Committee of Mortgages Limited as well as Executive Principal for the broker/dealer.
· Completed due diligence reports working with two external organizations. Developed collateral informational materials and brochures for institutional sales, including a due diligence binder.
Arque Capital Ltd. / Arque & Co. Incorporated · Los Angeles, CA
Hired to raise capital, start a Broker/Dealer firm (Arque Capital Ltd.), recruit personnel, and manage branch operations and sales. Managed clearing firm relationships with National Financial Services (NFS). Tasked to lead final interactions with the SEC, MSRB and FINRA. Served as the firm and branch office principal for all products. Concurrently managed the day-to-day operations of the Registered Investment Advisor (Arque & Co. Incorporated).
Wedbush Morgan Securities· San Francisco, CA – Scottsdale, AZ
Vice President / BranchManager
Branch manager and corporate vice president, also served as the executive services group firm contact for derivative transactions and cash management. Was a member of theTechnology Committee
Advest Inc.· Hartford, CT
Group Vice President
Served as group vice president, and branch group/unit head vice president. Started and directed the Corporate Executive Services Department; built a team of broker specialists, established industry relationships for cash management and derivatives, and hired staff. Previously managed (all) seven regional managers, including 80 branch offices with 540 brokers and 800 total employees; oversaw the Mutual Fund, Investment Management, Insurance and Retirement Planning departments. Served as a member of the Board of Directors.
Initially employed at Advest Inc. as marketing/sales vice president, then branch manager, then division manager.
From 1969-1979 employed at Bache Halsey Stuart Shields & Co. as a registered representative, sales manager, marketing desk manager and corporate bond liaison department manager.
Education & Credentials
B.A. in International Economics and Organic Chemistry Wright State University/The Ohio State University (Dayton, Ohio)
Post-Graduate Training: 2014 FINRA Compliance Conference participant, 2011 and 2014 SEAK National Expert Witness Conference conducted by judges and attorneys; Interest Rate Risk Management, New York University; University of Pennsylvania Wharton School of Finance, Securities Industry Institute
Licenses Held: Series 3 (Commodity Futures Principal); Series 4 (Registered Options Principal); Series 7 (General Securities); Series 8 (NYSE Branch Manager); Series 24 (FINRA General Principal); Series 53 (Municipal Securities Principal); Series 63 (Uniform State Registration); Series 65 (Uniform Investment Advisor Principal); New York Stock Exchange Allied Member
Affiliations: Securities Industry Association, Bulls Roundtable 1987-1996 (Chairman 1991-1993) ; International "Who’s Who" of Business Professionals; Worldwide Who's Who; Juvenile Diabetes Foundation; National Association of Stock Plan Professionals; State of Connecticut 403B Review Committee; IMS EliteXpert