A Conversation with Brian Hamburger, Founder, President and CEO of MarketCounsel

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Episode 10
BRIAN HAMBURGER OF MARKET COUNSEL AND HAMBURGER LAW FIRM

Brian Hamburger

In this episode we explore some of the hottest topics in wealth management today with Brian Hamburger, Founder, President and Chief Executive Officer of MarketCounsel & Founder and Managing Member of the Hamburger Law Firm.

Brian shares his unique perspective and experience on:

  • Mega trends for 2020
    • Wealth migration towards millennials 
    • Homogenization with investments
    • Advisors moving to a European model
    • RIA growth pains
  • Exodus from brokerage firms over to more independent firms or completely independent RIA’s
    • How are RIA’s continuing to grow at the expense of the wirehouses?
    • Roadblocks on the path to independence
  • Technology – how has it fueled the growth to independence?
  • And much more.

It’s an episode that covers a great deal of ground solid information for any advisor who is looking to gather insight on the changes in the landscape and use that knowledge to take their business to the next level.

Listen to additional episodes in this series
BIO

Brian Hamburger is the Founder and Managing Member of the Hamburger Law Firm. Brian is also the Founder, President and Chief Executive Officer of MarketCounsel, an affiliated business, regulatory, and compliance consulting firm for entrepreneurial investment advisory firms nationwide. MarketCounsel and the Hamburger Law Firm are the result of an incessant entrepreneurial spirit and genuine desire to provide an unexpected level of value and service. Together, the consulting and law firms represent an unparalleled combination of preeminent counsel and uncompromising service to participants in the retail securities industry.

Previously, Mr. Hamburger was an attorney with the securities practice group of a large New Jersey law firm. While there, he practiced in the area of securities law, concentrating in 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 was also a judicial intern at the U.S. District Court for the Southern District of Florida and then, the State of Florida Third District Court of Appeal. Earlier, Brian was the chief compliance officer of an SEC-registered investment adviser. In addition to his father’s lifelong influence, Brian’s involvement in the securities industry started before he could even drive a car. Since then, he has been involved in a myriad of areas within the industry, posting a rich diversity of experiences with investment adviser and financial planning firms.

Mr. Hamburger is admitted to the bars of New Jersey, New York, Pennsylvania, Massachusetts, the District of Columbia, as well as the U.S. Supreme Court. He is a member of the American Bar Association (Business Law Section) and other bar associations; the Securities Industry and Financial Markets Association, Compliance & Legal Division; National Society of Compliance Professionals; Financial Planning Association; and Society of Financial Service Professionals. Brian has been appointed to the American Bar Association’s Committees on Federal Regulation of Securities; State Regulation of Securities; and Professional Conduct; and is a Platinum and Gold Key Member of the New York Chapter of the Investment Management Consultants Association and New Jersey Financial Planning Association, respectively. He has also heeded the call of the Certified Financial Planner Board of Standards to sit on various task forces to shape industry-wide initiatives.

Brian is a frequent lecturer to regional and national groups in the securities industry including members of the wealth management, investment management, financial planning, accounting, and insurance professions. 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 the past several 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. Mr. Hamburger proudly 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.

A graduate of Quinnipiac College, Mr. Hamburger received his undergraduate degree 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. Brian was among the first to earn the designation of Certified Regulatory and Compliance Professional (CRCP) by the Wharton School and the FINRA Institute after completing his residency at the Wharton School of the University of Pennsylvania. He was recently 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.”

Brian is an active member of the US Coast Guard Auxiliary. He lives with his daughter, Ella, and sons, Jacob and Sidney, in northern New Jersey.

 

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Comments (3)
  • Two guys who know the biz, lots of fun to listen to.

  • Some bias towards independence but at least honest

    • Bias? Dont bury your head in the sand. You cant discuss the issues of the day without talking honestly about the various silos our biz is in. Hamburger makes a living on the Indy side but that doesnt mean its not the biggest challenge to traditional brokerage. Independence wasnt on the map for most sophisticated brokers 10 years ago today its the fastest growing segment. Thats without huge checks upfront for most.

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