S. Kendrick Dunn has been President of Jamboree Securities Consulting since 2017.   The firm specializes in compliance consulting services for broker dealers with an emphasis on providing solutions for compliance requirements and regulatory needs, including FINRA membership applications.  Mr. Dunn has also served as an expert witness in arbitration and civil matters.  

Ken was the CEO of Hamilton Grant LLC during 2020 and 2021.  Previously he was the Chief Compliance Officer for Pacific Select Distributors, Inc. from 2002-17 as well as an Asst. VP of its parent, Pacific Life Insurance Co. from 2004-17. At Pacific Life he was a member of the management team within its Corporate Compliance unit.

Ken began his career in the securities industry with the NASD in Los Angeles where he spent over eight years as a supervisor of examiners, managing professionals performing regulatory examinations, addressing new membership requests and conducting many forms of “for cause” investigations.  He has also held positions in compliance, administration, human resources and finance (including serving as a FINOP) with several broker-dealers.  He was a member of FINRA’s District 2 Committee from 2009-12 and was a member of FINRA’s Dispute Resolution pool.   Ken has also served on the Boards of the Association of Western Securities Management, Securities Industry Management Association and the National Association of Independent Broker Dealers.  He has held the Series 7, 24, 27, 51 and 63 registrations.  Ken is a graduate of UCLA with a BA in Economics and he holds an MBA in Finance and Consulting Services from USC.  For additional information, please go to www.jamboreesc.com

Vice President Summary

Essential Duties & Responsibilities:

  • Assist the President with every aspect of SCCG, including membership efforts, directing and facilitating meetings in his/her absence and coordinating the business plan. Work closely with the President to “mirror” his/her leadership.
  • In the absence of a Speakers Bureau Chair, oversee programming for each SCCG Member Meeting, ensuring that each of our Members have an active voice and the opportunity to have input on agenda items. Arrange for guest speakers as needed or as requested by the Speakers Bureau. As needed, suggest topics for the Open Forum discussion portion of the Member Meetings.
  • In the absence of the Membership Committee Chair, work with Administrator to manage all recruiting efforts, including spearheading Member Meetings, overseeing maintenance of the SCCG Membership Application and other documentation, and provide ideas for membership initiatives and marketing efforts to increase the membership.
  • In the absence of a Social Chair, spearhead organization of and participation at Member networking events.

Qualifications:

Must be a Member in good standing of SCCG and be appointed by the President. Individual must perform the above essential duties satisfactorily and be willing to substitute for President, as required.