FacultyFaculty/Author Profile
A. Brad Busscher

A. Brad Busscher

Incapital LLC
Chief Administrative Officer and General Counsel
Chicago, IL, USA


A. Brad Busscher is the Corporate Secretary, Chief Administrative Officer and General Counsel of Incapital Holdings LLC and its subsidiaries (“Incapital”).  Incapital is an institutional sales and trading, wholesale distribution and investment banking firm based in Chicago with offices in Boca Raton and New York.  He also serves on the firm’s Executive and Management Committees. 

Prior to joining Incapital, Brad served as Executive Vice President, Senior Managing Director and General Counsel of Mesirow Financial, a diversified financial services firm headquartered in Chicago.  With over 1,100 employees, Mesirow Financial engages in a wide array of financial services including retail and institutional securities brokerage, trading, clearing, investment banking, public finance, traditional and non-traditional asset management (including private equity and hedge fund-of-funds products).

In addition to his employment at Mesirow Financial, Brad was a Senior Vice President at Van Kampen Investments, a unit of Morgan Stanley, where he was responsible for coordinating all regulatory requests and examinations and he managed a team of compliance professionals responsible for reviewing all marketing and advertising materials.  Brad was also employed as a Senior Vice President at EVEREN Securities where he arbitrated numerous customer disputes and ultimately had responsibility for managing the firm’s material litigation and regulatory matters.

Following graduation from law school, Brad was a litigation associate at a Miami-based law firm and then spent four (4) years with the Enforcement Division of the U.S. Securities & Exchange Commission where he served as Chief, Branch of Enforcement and was responsible for managing a team of enforcement attorneys.

Brad obtained a BA degree from Cornell University, a JD degree from the University of Miami and an MBA degree in finance and accounting from the University of Chicago Booth Graduate School of Business.  He recently completed his tenure a as Director of the National Society of Compliance Professionals and is a frequent speaker on regulatory and compliance issues.  Brad also wrote a chapter for Modern Compliance, published in 2015 by Wolters Kluwer, entitled “Corporate Transactions:  The Role of Compliance.”

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