FacultyFaculty/Author Profile
A. Brad Busscher

A. Brad Busscher

Incapital LLC
Chief Administrative Officer and General Counsel
Boca Raton and 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.  Incapital’s core business centers around the offer and distribution of new issue fixed income securities and CDs, including structured notes and CDs, through over 800 broker-dealers, investment advisers, institutions and banks.  With a diverse range of new issue and secondary market offerings, Incapital is engaged in the purchase and sale of corporate notes, Agencies, CDs, MBS and structured notes and CDs, designed for both individual and institutional investors.  Brad is a member of Incapital’s Executive and Management Committees.

Following graduation from law school, Brad worked as a litigation associate in a Miami, Florida based law firm.  Upon leaving private practice, he accepted a position in the Enforcement Division of the United States Securities and Exchange Commission (“SEC”).  During his tenure at the SEC, he was promoted to Chief, Branch of Enforcement and was responsible for managing a team of enforcement attorneys. 

After leaving the SEC, Brad was one of the first attorneys hired by Kemper Securities, Inc., a national, full-service securities firm created by Kemper Corporation following the consolidation of five regional securities brokerage firms.  His initial responsibilities included arbitrating numerous customer and employee disputes and addressing a wide array of regulatory issues.  While at Kemper, Brad assisted in the employee led buyout of the firm wherein the firm was re-named EVEREN Securities, Inc. and subsequently taken public.  Brad provided legal support to several areas within the firm including Compliance, Human Resources and Capital Markets and managed the firm’s material litigation and regulatory matters.

Following the acquisition of EVEREN by First Union Securities (now Wells Fargo Securities, LLC), Brad joined Van Kampen Investments, a unit of Morgan Stanley.  While at Van Kampen, he was responsible for coordinating all regulatory requests and examinations.  He also supervised compliance personnel responsible for the firm’s distribution company, transfer agent and marketing and advertising functions.

Brad most recently served as Executive Vice President, Senior Managing Director, Corporate Secretary and General Counsel of Mesirow Financial, a diversified financial services firm headquartered in Chicago.  Mesirow Financial engages in a wide array of financial services including retail and institutional securities brokerage, trading, investment banking, public finance, traditional and non-traditional asset management (including private equity and hedge fund-of-funds products), insurance brokerage, and consulting services.  In addition to serving on Mesirow Financial’s Executive Committee and serving as Secretary to the Board of Directors, the firm’s legal, compliance, human resources and internal audit functions reported to him.

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

A. Brad Busscher is associated with the following items:
Live Seminar  Live Seminar Internal Investigations 2018, Wednesday, June 06, 2018, Chicago, IL
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