HOW DID YOU GET HERE JESSICA?
“Believe it or not, I’m an English major. I started a career in advertising in L.A., but 9/11 made me reconsider my priorities. I moved to Vail, Colorado for several years where I worked very hard for very little in exchange for playing on some of the most beautiful land in the world. In 2006 my father invited me to move back to the Midwest to help market his broker-dealer. He was a former regulator and had owned independent contractor BDs since the ‘80s. Together, we built an M&A division from the ground up…we went from zero to over 80 middle market advisors with over thirty locations. I enjoy analyzing the maze of applicable securities regulations and figuring out how they truly apply to our business. Our team is constantly working to make compliance as simple and quiet as possible. I like the freedom of running a niche firm that that services entrepreneurs who often service entrepreneurs. There are lots of highly successful, independent minded people around. It’s an exciting space offering a rare opportunity to think outside of the box on compliance.”
TELL US ABOUT MAS.
“MAS was literally built to serve middle-market M&A advisors. We are focused on M&A and private capital raising. We know the business – but from the background – it is critical to me that our compliance staff are all non-producers. We respect our associates, the expertise they bring to the table, the time they commit to their clients, the energy they’ve put into building their own firms. We view them as partners. We strive for simple processes that are appropriate for our space and commit to educating our registered persons on why certain requirements apply. A professional, personal, accessible staff allows for a small firm experience, a consistent relationship, an expected level of service. We are truly the compliance department down the hall. We are on top of what needs to be done to satisfy regulations and will lead our guys through the process.”
FREE TIME?
“I spend most of my free time practicing yoga and watching my sons Nico and Mateo play soccer. My husband Vince and I love to travel with (and without) our boys. I was previously afforded the privilege of chairing FINRA’s Small Firms Advisory Committee. I have also served on FINRA’s District and Capital Acquisition Broker Committees. We are intentional in our involvement with policy and regulators and are grateful to have a seat at the table as an M&A Broker Dealer and I’m always available to discuss concerns. Sharing ideas, best practices and learning from our peers is the only way to go.”
