Brad Ziemba is a seasoned financial services executive and regulatory leader with over 25 years of experience spanning broker-dealer operations, investment advisory compliance, and strategic risk management. His career reflects a unique blend of deep regulatory knowledge and entrepreneurial drive, honed through leadership roles at both established institutions and fast-growing fintech ventures.
Brad began his career at Prudential Securities in the late 1990s and went on to serve in supervisory and operational leadership roles at firms including Charles Schwab and Duncan-Williams, Inc., where he gained significant experience in equity and fixed income trading, municipal underwriting, and institutional sales. Over the last decade, he has transitioned into Chief Compliance Officer and executive roles, advising firms on complex regulatory matters, managing FINRA and SEC audits, and building scalable compliance frameworks to support rapid growth.
Most recently, Brad has served as CCO and CEO of a national fintech broker-dealer focused on private securities and investment banking. There, he has overseen a dramatic expansion from 20 to 500+ registered representatives, including the development of AI-supported compliance infrastructure, a distributed supervisory model, and onboarding of international chaperoning activities. He is known for his ability to balance regulatory expectations with commercial goals, often advising founders and boards on risk-informed growth strategies.
Brad holds an MBA from the University of Notre Dame and maintains active FINRA licenses including the Series 7, 9, 10, 14, 24, 52 and 63. A strong communicator and cultural contributor, he builds and leads diverse teams, often in remote or hybrid environments, and is recognized for his steady leadership during periods of transformation.
He currently resides in Honolulu, Hawaii, where his wife serves as a U.S. Army physician. He embraces this chapter of his life with purpose, balancing professional leadership with support for his growing family. His ability to thrive in remote leadership settings, adapt to time zone demands, and lead distributed teams across the U.S. and Latin America has proven invaluable in today’s evolving work environment.
