Brad Ziemba

Chief Compliance Officer 

Mr. Ziemba, a 1997 graduate of the University of Memphis’ Fogelman College of Business and Economics, began his career at Prudential Securities as a financial advisor in 1997. He later became a Commercial Real Estate Market Analyst with First Tennessee Bank before joining Charles Schwab and Company as Senior Relationship Specialist. In 2003, Mr. Ziemba joined Duncan-Williams, Inc. as a Fixed-Income Analyst. In 2005, Mr. Ziemba was appointed Chief Compliance Officer for Duncan-Williams, Inc.

Mr. Ziemba’s responsibilities include the supervision and enforcement of all rules and regulations of the Financial Industry Regulatory Authority (FINRA) as they relate to all securities firms doing business in the United States.