We believe that experience matters in providing you with the best possible products and services. Not only do we surround ourselves with a network of some of the most experienced and talented service providers, consultants and experts the industry has to offer, we also have a team of experienced members and advisors managing the process behind the scenes.
Scott has over 18 years of experience in the financial services industry to include working with FINRA broker-dealers and SEC/State investment advisers focusing on registration, governance, risk management and compliance matters. Prior to Connexien, Scott was the Managing Principal and co-founder of Financial Registrations, Inc. from 2002 through 2016, and was also the President and co-founder of another regulatory compliance consulting firm based in Southern California. He was also an Examiner at NASD Regulation, Inc. (now FINRA) where he conducted comprehensive examinations and investigations of FINRA broker-dealers for compliance with federal, state, and SRO rules and regulations. Prior to NASD, he held compliance and auditing positions with Imperial Bank and Signature Financial Marketing, Inc. Scott received a B.A. from the California Polytechnic University and an M.B.A. from the University of Redlands. He maintains the Series 27 & 99 licenses.
Denim A. Mercado principal consultant email@example.com Industry Experience +17yRS.
Denim has over 17 years of experience in the financial services industry working with various FINRA member broker-dealers and investment adviser firms. Her background includes serving in the Chief Compliance Officer (CCO) role for FINRA member broker-dealers, ST Invest, LLC dba Trade App and Capulent, LLC. She also served as CCO for FINRA member broker-dealer, WNC Capital Corporation, from October 2014 through May 2017 and also as Investor Relations Manager for WNC & Associates from September 2011 through May 2017. She has an extensive background in private placement offerings which include REITs, Limited Partnership Interests, Real Estate Funds, and 1031 exchanges having worked with other regional and national member firms since 2002. Denim received a B.S. in Economics from Westminster College and an M.B.A. from Chapman University. She currently maintains the Series 7, 24, and 63 licenses.
Brad has over 21 years of experience in the financial services industry to include working with FINRA broker-dealers, investment advisers and credit unions. His background includes serving as Senior Vice President at B.B. Graham & Co., a FINRA member broker-dealer. Prior to B.B. Graham & Co., some of his other work experience includes serving as Vice President of Investments & Insurance at Financial Partners Credit Union, Senior Vice President & Chief Operations Officer (COO) at DFC Investor Services. Prior to DFC Investor Services, Brad also worked as an Executive Officer for West Coast Operations at IMFG, Examiner at NASD Regulation, Inc. (now FINRA), Regional Principal at WM Financial Services and Financial Planner at Morgan Stanley. Brad received a B.A. from Missouri Southern State University and an M.B.A. from the University of California, Riverside. He currently maintains the Series 4, 7, 24, 27, 63, 65 & 53 licenses as well as the CFP®, ChFC®, CLU®, CAIA designations.
Robert has over 16 years of financial experience working with institutions, companies and entrepreneurs. His background includes serving as CEO & CCO for Arrowroot Partners, a FINRA/SIPC member broker dealer and founder of Vitreous Partners, LLC, a boutique wealth management firm working with a wide range of international and domestic clients to provide customized and specialized investment and family office services. Additionally, his background includes serving as the portfolio manager for Vitreous Partners' fund of funds, Ladrillo, LLC, which invests in a diversified portfolio of alternative investments, including hedge funds, private equity funds, and real estate. Previously, he was a Director for Salem Partners, a multi-family office and investment bank in Los Angeles, California where he served on the investment committee. Prior to Salem Partners, Robert worked at JP Morgan Securities and Bear Stearns. Robert received a B.A. from the University of California at Los Angeles (UCLA). He currently maintains the Series 7, 24, 65, 66 & 79 licenses.
Michael has over 25 years of experience in the financial services industry to include working with FINRA broker-dealers and investment management companies. Most recently he held the role of President/COO for Stockpile Investments, a FINRA member broker-dealer. Prior to that, he held the role of President for Zecco Trading, another FINRA member broker-dealer. He has also held a number executive roles overseeing service, sales, relationship management and trading for companies such as, E*TRADE Securities, JP Morgan BrownCo and USAA Investment Management Company where he started his career. Michael received a B.B.A. from Southwest Texas State University and an M.B.A. from St. Mary’s University in San Antonio Texas. He maintains the Series 4, 7, 9, 10, 24, 53 and 63 licenses.
Ryan has over 15 years of technology and software engineering experience working with various companies and entrepreneurs. His background includes serving as Chief Executive Officer (CEO) for Base Spin, LLC, a technology and software engineering firm working with a wide range of public and private sector companies to provide customized web solutions & software development services. Prior to Base Spin, LLC, some of his other work experience includes serving as the Chief Technology Officer (CTO) for Web Innovations, LLC, and as a Web Developer and Software Engineer for California Baptist University and Pixelfish, LLC. Ryan received a B.S. in Electrical Engineering from Pensacola Christian College (FL).