Our Team
Jason L. Gardner is The Chief Operating Officer and Chief Risk Officer of PCT Capital where he is responsible for tracking investments, reviewing initial risk/reward expectations, determining whether tranche-related milestones are reached by portfolio companies, assessing liquidity and sale possibilities, and making recommendations on liquidating or writing down investments. Mr. Gardner is also responsible for handling internal controls, regulatory inquiries, and coordinating with law and tax firms for Fund deals. He has over 10 years of experience as an investment professional. The majority of his experience is as a proprietary trader, where he was recognized for his ability to stay calm under pressure, take disciplined approaches to recover from unexpected events, develop junior traders, and remain in the top 10% of producing traders (200 traders) and manage the trading floor.
Mr. Gardner brings a wide range of trading, risk management, legal, regulatory, and fund operations experience to the investment team. Prior to PCT Capital, he was Chief Compliance Officer of Ocean Tomo Asset Management, LLC where he headed the compliance function for the Ocean Tomo 300® Patent Index (AMEX: OTPAT) and implementation of Ocean Tomo's IP-centric hedge funds.
He was previously the Chief Compliance and Risk Officer for 100 traders of Kershner Trading -- a proprietary trading firm in Austin, TX. Prior to that, Mr. Gardner was the Director of Compliance for Capitol Securities, a full-service broker dealer and registered investment advisor in Washington, D.C. While there, he revamped the firm's compliance program, and led a number of new strategic business initiatives.
Mr. Gardner earned a B.A. from Columbia University and a J.D. from American University with a concentration in Tax and Securities Law. Mr. Gardner is also Certified Regulatory and Compliance Professional, a designation sponsored by a joint program with the University of Pennsylvania Wharton Business School and the NASD.
He holds the following NASD licenses: Series 4 (Registered Options Principal), 7 (General Securities Representative), 24 (General Securities Principal), 53 (Municipal Securities Principal), 55 (Equity Trader), 63 (Uniform State Agent), and 65 (Investment Advisor).
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