Team

Compliance Team

Michael O. Brown
Financial and Operations Principal (FINOP)
949.259.4905

Mr. Brown serves Ascendiant Capital Markets LLC and Ascendiant Securities LLC as Financial and Operations Principal (FINOP).

Mr. Brown has over twenty-five years of professional experience in all aspects of broker-dealer management, including strategic and financial leadership, operations, and compliance with FINRA, NASD (National Association of Securities Dealers) and SEC (Securities and Exchange Commission) regulations.

Mr. Brown’s extensive experience in the securities industry includes employment as a NASD Compliance Examiner, and serving as a NASD and MSRB (Municipal Securities Rulemaking Board) Arbitrator and member of the NASD Series 27 & 28 Examination Review Committee. Mr. Brown’s responsibilities within broker-dealer operations have included serving as Chief Compliance Officer, Financial Principal, and Director of Operations. He also has provided expert witness testimony regarding the standards and practices of compliance and operations within the brokerage industry.

Mr. Brown earned an undergraduate degree in Finance and Management from Purdue University in West Lafayette, Indiana. He maintains FINRA Series 4, 7, 24, 27, 53, 63, and 99 securities registrations.

Copyright © 2018 Ascendiant Capital Markets, LLC. All Rights Reserved