Mr. Harinder Dhillon
Chairman & Principal
Harinder Dhillon, an equity partner in the Firm has more than 13 years of experience in the capital markets. He rose from a technology operations function to President, with eventual responsibility as both Board Member and CEO of a publicly traded company, and carried full operational and P&L responsibility for subsidiary and public entity. His expertise and operational experience turned the company around from a multi-million dollar burn rate to a profitable operation.
Mr. Dhillon is also a principal of Ocean Breeze Partners, a private residential and commercial real estate investment company with a portfolio focusing primarily on investments located on the central coast of California. Mr. Dhillon graduated from University of California Santa Barbara with a BS in Electrical Engineering. He currently resides on California's Central Coast.
Mr. Mark Richardson, Esq.
President & Principal
Mr. Richardson serves as the firm's President and heads the firm's securities operations. He has been a securities lawyer since graduating from the University of Michigan Law School. He has been the principal securities counsel on a variety of equity and debt placements for corporations, partnerships and real estate companies. His practice includes public and private offerings, venture capital placements, debt restructuring, compliance with federal and state securities laws, representation of publicly traded companies, NASDAQ filings, corporate law, partnerships, joint ventures, mergers, asset acquisitions, motion picture financing, and stock purchase agreements.
As a partner in a major international law firm in the 1980's, Mr. Richardson participated in the leveraged buyout and recapitalization of DIC Animation, Inc., a producer of animated programming for children, financed by Prudential Insurance and Bear Stearns, Inc. He was also instrumental in restructuring the public debentures of Preferred Financial Corporation without resorting to a bankruptcy proceeding. From 1986 to 1993 Mr. Richardson was a contributing author to State Limited Partnerships Laws - California Practice Guide, Prentice Hall Law and Business.
Prior to receiving his JD cum laude from the University of Michigan Law School in 1978, Mr. Richardson received a Bachelors of Science degree summa cum laude in Resource Economics from the University of Michigan School of Natural Resources in 1975, where he earned the Bankstrom Prize for academic excellence and achieved Phi Beta Kappa honors. He holds the Series 7, 24, and 63 licenses. Mr. Richardson is an active member of the Los Angeles County and California State Bar Associations, including the Section on Corporations, Business and Finance and the Section on Real Estate.
Mr. Louie Ucciferri.
Chief Compliance Officer & Financial and Operations Principal
Mr. Ucciferri, a 30 year veteran of the securities industry, serves as the firm's Chief Compliance Officer and Financial and Operations Principal. Since December 2010, he has served as Chief Compliance Officer and Financial and Operations Principal of EdgeLine Capital, LLC, a boutique placement agent located in Los Angeles, CA, which raises capital for private equity firms and hedge funds from institutional investors. Since November 1998, he has also served as President and Chief Compliance Officer of Camden Financial Services, a full service broker dealer located in Irvine, CA.
From 2004 through 2012, he was CEO, President, and Chief Compliance Officer for Regent Capital Group, a FINRA broker dealer he founded in 2004 to focus primarily on private placements of Tenant in Common investments in institutional quality commercial real estate.
He began his career in 1984 with Dean Witter Reynolds in Boston and in 1986 joined Fidelity Investments' discount brokerage unit, where he became head of trading. In 1989, he joined the independent broker dealer Commonwealth Financial Network as Vice President of Operations, where he developed the equity trading desk and ran day to day operations. His broker dealer experience has included day to day operations, sales supervision, compliance, due diligence, corporate finance, and investment banking. He holds the FINRA Series 4, 7, 24, 27, 53, 63, 79, and 99 licenses. Mr. Ucciferri is a graduate of Stanford University with BA degrees in Economics and Sociology. He has lived in Thousand Oaks, California since 1993 with his wife and 2 children.
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