J. Curtis McCubbin

About J. Curtis McCubbin

Diligent lawyer and legal advisor counseling leadership teams and multiple business lines with 19+ years of legal experience. Specializes in advising business and operational units and works effectively within a fast-paced environment. Significant transactional experience negotiating and structuring complex commercial agreements. Strong negotiating skills and ability to simultaneously accomplish multiple quantitatively and qualitatively challenging tasks. Brings business stakeholders to the table and facilitates communication with tact. Demonstrates initiative in taking on new projects.I am Chief Compliance Officer for D.A. Davidson & Co.I am active in the financial services industry having served on the SIFMA Compliance & Legal Society Future Leaders Committee (and former Co-Chair), a member of the SIFMA C&L Annual Seminar Planning Committee (20••••23), formerly on the SIFMA General Counsels Committee, and acting as a non-public arbitrator with FINRA Dispute Resolution. I have participated in planning and moderating several SIFMA C&L events, including the SIFMA C&L Annual. I am a 2021 graduate of the Securities Industry Institute at Wharton, University of Pennsylvania.During my career, my legal practice has focused on securities compliance, arbitration and litigation, regulatory and statutory compliance, employment law, real estate, data privacy, cannabis, and general corporate law.

Experience

1. Chief Compliance Officer

   D.A. Davidson Companies

   Jan 2023 — Present · Louisville, KY, US

   As the Chief Compliance Officer, my team and I are responsible for overseeing the Firm\'s compliance with SEC, FINRA, MSRB, and state regulations across its investment advisory and broker-dealer operations.Core responsibilities include strategic oversight and reporting, regulatory engagement and tracking, policy and procedure management, cross-functional collaboration, and personnel and program leadership.

Education

• The Wharton School

  Securities Industry Institute (SII), Investments and Securities

• Indiana University Southeast

  MBA, Business Administration and Management, General

  2009 — 2012

• Transylvania University

  BA, Political Science

  1999 — 2003

• University of Kentucky J. David Rosenberg College of Law

  JD, Corporate & Securities Law

  2003 — 2006

Skills

• Legal Issues
• Finra
• Finance
• Iras
• Corporate Governance
• Series 24
• Investment Strategies
• Retirement
• Legal Research
• Series 7
• Financial Services
• Mediation
• Investment Advisory
• Mutual Funds
• Employment Law
• Securities Regulation
• Securities
• Series 63
• Corporate Law
• Arbitration
• Legal Writing
• Litigation