About the Firm
Marc Hunter, Esq.
With over 20 years of experience navigating the complexities of the financial services industry in both sales and operations, Marc provides a rare combination of high-level operational mastery and rigorous legal insight. His career is defined by a deep commitment to building scalable, compliant, and efficient infrastructures for growing broker-dealers.
Deep Operational Expertise
Marc's extensive background is supported by 12 industry licenses and a mastery of the market's leading clearing and custodial platforms. He has a proven track record of optimizing workflows and managing sophisticated integrations across:
- Clearing & Custody: Pershing, First Clearing, Charles Schwab, and Fidelity.
- Institutional Platforms: Goldman Sachs, Morgan Stanley, Raymond James, and Folio.
Strategic Risk & Compliance Leadership
Beyond day-to-day operations, Marc specializes in the architectural side of the business. He has spent years partnering with small, emerging broker-dealers to develop robust risk management frameworks and compliance protocols from the ground up. His approach ensures that everyday operations are not only efficient but are built to withstand the evolving regulatory landscape.
Academic & Legal Foundation
Marc's professional experience is bolstered by a strong academic pedigree and legal expertise:
- Juris Doctor (JD): Purdue Global
- Bar Admission: Passed the California Bar Exam
- Bachelor of Arts in Communications: University of Utah
By blending two decades of "in-the-trenches" brokerage experience as an advisor, service manager, risk officer, and principal with a modern legal perspective, Marc offers a unique value proposition: the ability to see the big picture of a firm's growth while ensuring every operational detail is legally sound and execution ready.
Let's Connect
Whether you are looking to scale your operations, refine your compliance engine, or navigate complex clearing transitions, Marc brings the experience and credentials to lead the way.
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