Currently building an external pipeline and internal sales strategies for information technology solutions and HIPAA privacy and security compliance software.

Assist independent research firms in establishing long-term, beneficial relationships; sales and marketing plan development; organizational and operational streamlining, SEC compliance for independently originated investment research; financial and business operation services; startup advisory services; businesses growth strategies; fund raising and go-to-market planning.Clients served include top tier asset management firms, hedge funds, family offices, investment research providers and… Show more Assist independent research firms in establishing long-term, beneficial relationships; sales and marketing plan development; organizational and operational streamlining, SEC compliance for independently originated investment research; financial and business operation services; startup advisory services; businesses growth strategies; fund raising and go-to-market planning.Clients served include top tier asset management firms, hedge funds, family offices, investment research providers and vendors providing trading, analytic and compliance services. Show less

Oversight of all organizational team leads and efforts related to: trading functions; sales and marketing; business development, client services, branch office and research compliance; trade processing and settlement and commission tracking systems. Created a minority owned joint venture company to serve the under-represented Native American community of broker/dealers.

Provided financial and business operations services for independent research providers. Monitored emails and correspondence; advertising; registration compliance; and continuing education. Facilitated annual compliance meetings. Developed and implemented CSA programs for the collection and allocation of research-directed commissions. Offered research and guidance to IRP’s on best practices to comply with the SEC’s 2006 28e release regarding client commissions. Operated as incubator for a large… Show more Provided financial and business operations services for independent research providers. Monitored emails and correspondence; advertising; registration compliance; and continuing education. Facilitated annual compliance meetings. Developed and implemented CSA programs for the collection and allocation of research-directed commissions. Offered research and guidance to IRP’s on best practices to comply with the SEC’s 2006 28e release regarding client commissions. Operated as incubator for a large number of well-known, highly successful boutique research firms by providing marketing, trading, operational support, and compliance oversight. Show less

Accountable for all facets related to independent research and institutional commission recapture operations. Served as liaison between the commission recapture sales force and clients. Oversaw teams responsible for sales, client servicing, and administration. Implemented innovative techniques to independent broker research boutiques and competing soft dollar brokers for company growth exceeding 25% annually; and revenues for soft and commission recapture >$3M. Personally contributed >$1M… Show more Accountable for all facets related to independent research and institutional commission recapture operations. Served as liaison between the commission recapture sales force and clients. Oversaw teams responsible for sales, client servicing, and administration. Implemented innovative techniques to independent broker research boutiques and competing soft dollar brokers for company growth exceeding 25% annually; and revenues for soft and commission recapture >$3M. Personally contributed >$1M in new business Year Over Year (YOY). Facilitated and played instrumental role in transition team’s efforts to integrate the business of both firms (LJR to Instanet) both prior to and following acquisition. Saved firm >$1.5M annually by migrating legacy processes to more effective, cost-saving automated systems. Show less