J. Cade Hamner
General Counsel/Chief Compliance Officer
J. Cade Hamner is General Counsel of Commerce Street Holdings, LLC, and Chief Compliance Officer for Commerce Street Capital, LLC, a FINRA member broker dealer, and Commerce Street Investment Advisor, LLC, an SEC-registered investment adviser. He began his career in the financial industry in Dallas over 20 years ago as a trader and market maker of NASDAQ securities, before moving into supervision, compliance, and ultimately law.
Mr. Hamner previously served as CCO and corporate counsel for a broker dealer, owned by a consortium of bulge bracket Wall Street firms, which managed an electronic equities and options trading platform. He has previously navigated financial firms through the legal and compliance aspects of mergers, acquisitions, and divestitures. He has in-depth experience managing broker dealer and investment adviser compliance processes, including sales practices and private fund formation. Additionally, Mr. Hamner has a deep knowledge and understanding of the securities laws which regulate broker dealers and investment advisers, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and the Investment Company Act of 1940.
Mr. Hamner received a BS in Business Administration, summa cum laude, from the University of Texas at Dallas, and a JD from Southern Methodist University. Mr. Hamner is a member of the State Bar of Texas, and a FINRA registered representative and general securities principal.