Nationally recognized financial,business and arbitration professional with expertise in the planning, management and regulatory compliance of member firms and the design and implementation of global and vertically integrated business programs

PROFESSIONAL EXPERIENCE

ParkSouth Securities
Vice-President, Business Operations
Analyze and implement programs for growth and profitability related to initial business plan.
Design and implement corporate Operational and Managerial programs for profitability and compliance
Develop and implement programs for the training and supervision of support personnel and registered representatives.
Develop and implement programs for the creation and opening of branch offices.
Review and amend internal compliance programs to ensure compliance with applicable regulatory authorities.
Oversee financial growth, payroll, accounts payable, proof and control functions, and monthly reporting activities.
Interface with senior management at clearing firm for smooth integration of operations systems.
Coordinated with Senior Legal Counsel to identify and resolve outstanding legal issues.
Calculate and prepare client portfolio performance and valuation reports in conjunction with AIMR standards.

Clearing Services of America
Vice President, Compliance
Analyze and revise existing internal compliance procedures related to regulatory compliance.
Oversee daily activities of over 150 independent contractors throughout the United States.
Developed internal reporting formats and spreadsheet systems for profitability analysis, long-term planning and corporate expansion
Acted as liaison to corporate counsel and developed legal strategies related to outstanding issues.
Assessed and identified operations systems modifications to enhance revenue and increase productivity.
Reviewed and modified existing internal operational procedures to ensure proper utilization of corporate resources.
Analyze client investment accounts and prepare performance and valuation spreadsheets.
Organize and supervise all audits performed by state and federal regulatory authorities.
Coordinate with senior management the preparation and submission of financial reporting.

IAS, Inc.
Eastern Regional Director
Developed and implemented business and marketing plan for newly created Eastern Region operations.
Created national marketing programs designed to achieve corporate exposure.
Awarded for significant growth in investor caseload and operational systems.
Recognized for increasing regional profits from 5 to 40 percent of overall corporate revenues.

Banis Financial Group
Vice President, Financial Planning
Created strategic programs for development of regional sales force.
Identified and created additional corporate revenue centers in conjunction with long-range planning.
Research and developed increase product line for private client group.
Instrumental in developing and implementing business plan for expansion of organization.

EDUCATION
NY Institute of Technology and New York University, Journalism
NASD Series 4, 7, 24, 63
CFP Designation
Proficient in Microsoft MS, Office, XP