Brian Edstrom is a seasoned attorney who leverages his experience as a former regulator to assist clients with their securities compliance and general business needs. Prior to joining Avisen, Brian spent seven years working for federal and state regulatory agencies in Washington D.C. and Minnesota. In Washington, Brian investigated civil rights and civil fraud claims with the U.S. Department of Justice Civil Rights Division and Civil Division, Consumer Protection Branch. In Minnesota, Brian served as the Director of Securities at the Minnesota Department of Commerce, where he was responsible for overseeing registration of securities offerings, and registration, enforcement and examination activities involving investment advisers and broker dealers doing business in Minnesota.
At Avisen, Brian represents financial services professionals with regulatory and compliance needs, including by providing the following services:
Preparation of registration/licensure application materials
Preparation of compliance policies and procedures, including codes of ethics, privacy policies, etc.
Assessment of complex compliance questions applicable to investment advisers, broker-dealers, and issuers of securities
Preparation of requests for no-action or interpretive opinions to submit to regulators
Assistance with succession planning, sales, mergers, and other business transitions
Brian also assists entrepreneurs and business owners with their general business and transactional needs.
Brian currently serves on the Board of the Financial Planning Association of Minnesota, where he Chairs the Professional Issues Committee. He also serves on the Advisory Board of YMCA Camp Widjiwagan and as a volunteer expert for Impact Hub in the Twin Cities.
Presentations & Speaking Engagements:
Outside of work Brian enjoys running, biking and exploring Minnesota’s lakes and trails with his wife, Emily, and their two young children. Brian regularly enters (and regularly does not win) the New Yorker’s caption contest.
You can reach Brian Edstrom at 612-584-3407.
Brian Edstrom is a seasoned attorney benefiting his clients with his seven years of experience working for federal and state regulatory agencies in Washington D.C. and Minnesota.
Brian leverages his valuable perspective as a former regulator to assist his clients with regulatory compliance matters, security offerings and general business transactions.