Kent Lund Email & Phone Number

Business, legal and securities compliance professional with deep experience working: as a staff law clerk for two Eighth Circuit federal court of appeals judges (Honorable Gerald W. Heaney and Honorable Roy L. Stephenson); as an associate attorney in a large law firm private legal practice (Sherman & Howard; litigation and labor/employment groups); as an attorney for a large multinational oil, gas and petrochemical company (Amoco Corporation; including completing two expatriate assignments (Hong Kong and Stavanger, Norway) and conducting a U.S. and an international business and legal practice); and as an executive officer, the General Counsel and/or Chief Compliance Officer of securities broker dealers and their affiliated registered investment advisers (e.g., Fiserv Correspondent Services, Inc.; Kirkpatrick, Pettis, Smith, Polian Inc.; George K. Baum & Company; and SDR Ventures, Inc.). Hold J.D., M.B.A. and LL.M. (Entrepreneurial Law) degrees. Hold/have held nine securities licenses (Series 7, 24, 9, 10, 14, 53, 63, 79 and 66).Licensed to practice law in three states and various federal courts including the United States Supreme Court.Experienced nonprofit, public company and private company corporate Director and corporate Secretary. Previous service as an Independent Director for three public companies, including service on their audit and compensation committees.Specialties: Legal and compliance for securities broker dealers and registered investment advisers. Dispute resolution (arbitration, litigation and mediation). Business advice and management. Legal advice and management. Corporate governance. International Law. Oil, Gas and Petrochemicals. Securities and Investments. Investment banking. Entrepreneurial law.Member, Colorado Securities Board, June 2017 to July 1, 2020. Appointed by Colorado Governor and confirmed by Colorado Senate.Member, FINRA West Region Committee, January 2020 to present. Independent Director, JAB Wireless, Inc., d/b/a Rise Broadband, November 2018 to July 2022, a private wireless ISP.

Listed skills include Corporate Governance, Litigation, Arbitration, Securities, and 12 others.

• Interim Ceo, Co-Head Of Investment Banking, Co-Cco

  Gvc Capital Llc

  Mar 2019 - Present - Greenwood Village, Co