President

Ken Dunn

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

President Summary

Essential Duties & Responsibilities:

  • Appoint the Vice President, Treasurer, Secretary and Committee Chairs.
  • Lead all Officer Meetings, ensuring they occur on at least a monthly basis.
  • Work with Secretary to create agendas for the Officer Meetings, and make sure the established agenda is followed in a timely fashion.
  • Provide input to Speakers Bureau on topics that would be of interest to Members.
  • Coordinate with Administrator and Speakers Bureau Chair on the creation of agendas for Member Meetings.
  • Lead Member Meetings, ensuring that they are held on a quarterly basis and that the established agenda is followed in a timely fashion.
  • Communicate administrative matters to Members at quarterly Member Meetings.
  • Work with Secretary to review and approve procedures and policies that affect the structure and purpose of SCCG.
  • Prepare and present a business plan each year.
  • Review Treasurer’s Report on at least a quarterly basis.
  • Work with Membership Committee to welcome all new Members.
  • Encourage input from all Members as to the development of SCCG.
  • Ensure that the purpose and integrity of SCCG is maintained at all times to avoid any Member or public concern.
  • Represent SCCG at conferences held by industry associations.
  • Initiate and coordinate annual election process for SCCG President.

Qualifications:

Must be a Member in good standing of SCCG and be voted in by current Members at annual election. Individual may serve consecutive years if re-elected. Individual must be willing to perform above duties as well as assist appointed Officers, when needed, with their designated duties and responsibilities.