Areas of Practice
- Investment Adviser Regulatory Compliance
- Broker-Dealer Regulatory Compliance
- Private Investment Fund Manager Compliance
Daniel A. Bernstein, JD
Chief Regulatory Counsel
Daniel Bernstein is responsible for thought leadership, content development, and management of a team of regulatory professionals. He is Chief Regulatory Counsel at MarketCounsel Consulting, the leading business and regulatory compliance consultancy to the country’s preeminent independent investment advisers. He is also an attorney with the Hamburger Law Firm, a boutique law firm with its practice in virtually all areas related to the investment and securities industry, entrepreneurial and employment matters.
Dan has significant experience in providing a broad range of legal services to individuals, startup and emerging companies, financial technology firms, enterprises and institutions in the securities industry. Dan first began working with Brian Hamburger more than 22 years ago and joined the firm in 2003. Dan is often referred to as a leading authority in regulatory compliance for registered investment advisors.
Dan is admitted to the bars of New Jersey and New York, as well as the U.S. District Court for the District of New Jersey. He formerly held the FINRA General Securities Representative Exam (Series 7), NASAA Uniform Investment Adviser Law Exam (Series 65) and held New Jersey Property and Casualty and Health Insurance Producer licenses. He earned his undergraduate degree in finance from the University of Connecticut. He went on to earn his Juris Doctor from the Rutgers School of Law where he was Chairman of the Moot Court Board.