Brad Northcutt
About Brad Northcutt
Brad Northcutt serves as the Principal Analyst for Risk Monitoring at FINRA in Dallas, Texas, a position he has held since 2021. He has extensive experience in the finance and regulatory sectors, having worked in various roles at notable firms including Thomas Weisel Partners and Lehman Brothers.
Work at FINRA
Brad Northcutt has served as Principal Analyst in Risk Monitoring at FINRA since 2021. In this role, he focuses on identifying and assessing risks within the financial markets. His work involves analyzing data and trends to ensure compliance with regulatory standards. Based in Dallas, Texas, he has contributed to enhancing risk management practices within the organization.
Previous Experience in Financial Services
Before joining FINRA, Brad Northcutt held several key positions in the financial services sector. He worked at Thomas Weisel Partners as Principal from 2000 to 2006. He then transitioned to Southwest Securities, Inc. where he served as Vice President and Director of Regulatory Oversight from 2006 to 2015. Following this, he worked at Hilltop Securities in various roles, including Director of Regulatory and Operations Capital Markets from 2015 to 2018 and Director of Risk Management & Policy from 2018 to 2020.
Education and Expertise
Brad Northcutt earned his Bachelor of Business Administration (BBA) degree from Texas Tech University - Rawls College of Business, where he studied Finance with an emphasis in Economics and Accounting. His educational background provides a solid foundation for his roles in risk management and regulatory oversight within the financial industry.
Career Timeline
Brad Northcutt's career spans several decades in the financial services industry. He began his professional journey at Lehman Brothers as Vice President from 1995 to 2000. After that, he joined Thomas Weisel Partners and later moved to Southwest Securities, Inc. His tenure at Hilltop Securities included multiple leadership roles before he joined FINRA in 2021.