David Brant

David Brant

Senior Director
Omaha, Nebraska, United States

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Work Experience

Foreside Financial Group, LLC

Senior Director

2021-10-01 - Present

Axos® Clearing, A Subsidiary of Axos Financial™

Chief Financial Officer

2020-12-01 - 2021-10-01

Alpine Securities

Chief Financial Officer

2016-12-01 - 2020-12-01

Condor Hospitality Trust

Director of Financial Reporting

2014-09-01 - 2016-08-01

COR Clearing LLC

Chief Financial Officer

2005-10-01 - 2012-03-01

Wachovia Securities

Divisional Controller

1998-08-01 - 2005-09-01

KeyClearing

Accounting Manager

1993-06-01 - 1998-07-01

Skills

regulatory compliance fund cco compliance alternative investment compliance consulting distribution solutions treasurer services advisor compliance consulting marketing material review consulting startup services brokerdealer chaperoning nscc services legal underwriting ria registration aml sec compliance registration finra licensing compliance finop private placements etf distribution mutual fund distribution distribution consulting legal underwriter exchangetraded fund compliance mutual fund compliance interval funds brokerdealer consulting brokerdealer exams start an etf launch an etf

Languages

English