Brett Radetsky

About Brett Radetsky

Experienced securities professional with a demonstrated history of working in securities operations, compliance and risk assessments of financial firms. Skilled in broker-dealer compliance, yearly and quarterly regulatory filings, portfolio management, Investment Adviser regulation, securities registration, hedge funds, REG D and private placement requirements. Accounting, and securities compliance investigations. Approval of broker-dealer firms and representatives. Cybersecurity issues and Investment Advisers. Knowledge of licensing requirements and heightened supervision provisions. Strong professional with a Master of Business Administration (MBA) focused in Accounting and Finance from Regis University.

Experience

1. Principal Analyst-risk-private Placements

   FINRA

   Feb 2024 — Present · Boca Raton, FL, US

Education

• University of Colorado Boulder

  Bachelor's of Journalism, Advertising

  2001 — 2005

• Regis University

  Master of Business Administration (MBA), Accounting and Finance

  2008 — 2010

Skills

• Financial Reporting
• Adv Part 2a and 2b
• Securities Registration, Reg-D Exepmtions,
• Financial Modeling
• Independent Custodian Oversight
• Portfolio Management
• Expert Testimony
• Leadership
• Asset Management
• Municipal Bond Exemptions
• Colorado Open Records Act Contact for Colorado Division of Securities
• Accounting
• Investments
• Asset Allocation
• Mutual Funds
• Colorado Securities Act, Pooled Investment Vehicles, Hedge Fund Compliance
• Financial Analysis
• Investment Adviser Compliance, Wealth Management, Portfolio Diversification,
• Series 7