AdvisorBid is the electronic marketplace for financial advisors to receive offers, transition, recruit, sell or bid on books of business and has the patent -pending technology platform within financial services connecting leading broker-dealers, custodians, RIA's and advisors.* Guide the Company, particularly the CEO with respect to strategic partnerships and capitalization.* Provide feedback on the Company strategy.* Review the Company's business plan to be investor or pitch ready for presentation.* Guide and assist with the Company's current and future capital raises from institutional investors.* Advice and assistance relating to customer acquisition, investor relations and vendor selection.* Consult as to the financial operations, accounting and reporting.

Mizuho Capital Markets Corporation specializes in trading derivative products to corporate customers worldwide and is the (CFTC) Swap Dealer and LCH SwapClear member subsidiary within the Mizuho Financial Group. * Organizational Leadership - Direct & oversee globally all financial aspects of the $5 Billion Company* Collaborative Business Partner - Assist Senior Management and the Board providing strategic financial leadership during the Financial Crisis on Dodd-Frank, the Volker Rule, CFTC Registration, LCH SwapClear CCP membership, Resolution plans and BASEL III, PPNR, CCAR & DFAST Capital reporting/stress tests Report to the Company President. Manage a global staff of 15 in New York, London & Hong Kong. Principal with the NFA and FCA. Partnered with the Board, Senior Management, Traders & external auditors.* Senior Management - Member of the Compensation, New Product, Volker, Credit Risk, Market Risk, Treasury, Compliance & Technology Investment Committees * Accounting - Oversee Fair Value Mark to Market for the trading portfolio, CVA, DVA & reserves* Reporting to Regulators - File Audited Financial Statements with counterparties, the FCA (U.K.) & the SFC (HK). Oversee Federal Reserve Bank reporting and compliance* Income Tax - Direct tax accounting & reporting and Transfer Pricing* Policies & Procedures - Optimized certifications & compliance under U.S. and Japanese SOX Promoted to Executive Director. Key contributions:* Bought $ millions in UK tax losses at a substantial discount* Sold the firms Lehman claim realizing 70% in proceeds. Negotiated with Wall Street distressed traders* Spun off Non-US entities to realize $ millions in tax and capital benefits. Performed entity valuation(s)* Oversee PeopleSoft Ledgers implementation * Implemented Basel II and III for JFSA, FRB and CFTC Capital reporting* Successfully defend city and state tax Audits* Conceptualized remuneration code structure(s) that resulted in exempt status in the UK

$500 Billion 401(k), Defined Benefit, NQDC, Equity Award & IRA Business. * Organizational Leadership - Direct & oversee all financial aspects of the Company* Business Transformation/Change Agent - Presented Business Cases & Business Reviews to Committees * M&A - Responsibility for Due Diligence, acquisitions, integrations, alliances, divestitures & outsourcings* Collaborative Business Executive - Partnered with Investment Bankers, Law firms, CPA Firm & Corporate CounselReport to the Company President. Board member. Member of the New Product, Systems Investment & Senior Management Committees. Leader of 5 business teams comprising 40 professionals. Responsible for: * Financial Planning & Analysis - Client and Product Profitability, rolling forecasts, financial modeling * Performance Optimization & Management Reporting - Business scorecards by Customer, Broker & Product* Budgeting and P&L Responsibility - Annual Operating and Capital Budgets and P&L statements* Regulatory Compliance - Oversee SOX. FinOp for a registered Broker/Dealer.* Financial & Regulatory Reporting - Filed Audited Financial Statements to FINRA & managed P&L reporting* Strategic Planning - Short and Long Range Strategic Plans, Customer Pricing and Investment Proposals* Project Management - For Business Information Systems, Activity Based Costing, and Sales CompensationPromoted to First Vice President. Key contributions:* 2 Acquisitions, 1 Divestiture, Outsourced 2 functions and invested internally to grow Revenue/Profits* Increased profit margin leverage each year while driving down cost per participant* Best Practices & Benchmarking - Partnered with a leading Strategy firm on Revenue/Profit Growth Plans* Consensus Building & Teaming - Upgraded organization talent and bench strength. Hired a Deputy and 4 VP's* Profitability Improvement - Drove division expense reduction exercises resulting in savings of 2%

14 branch $400 Billion Retail Broker, U.K. Bank and Swiss Bank in Europe and The Middle East. Reported to the Company President. Member of the Senior Management Committee. Managed six professionals in three teams. * Strategic Planning - Prepared 1, 3 and 5 year plans & Investment Proposals for Committees/Senior Executives.* Financial Modeling - Prepared for Business expansion, Re-sizing, Revenue, Compensation & Fixed expenses.* Performance Optimization & Management Reporting - Product, Office, Customer Segment and Broker Performance Metrics prepared for Board meetings. * Budgeting - Annual Operating and Capital (Financial Commitment) Budgets. * Forecasting - Oversee multi-operation, multi-currency rolling P&L management. Promoted to Director. Key contributions:* Profitability Improvement - CFO of a turnaround effort. Modeled, planned and re-sized the Company to profitability, from a Pretax Loss of $100 million to a Pretax Income of $60 million within 1 year. * Crisis Management - Acquired 1 Business. Sold 2 Branches. Closed 2 Branches.* Business Transformation/Change Agent - IRR/ROI/NPV/Payback Period hurdle rates achieved for Capital projects, Business Cases and Branch, Business expansion and re-sizing initiatives.

A Global Middle Markets Sales function. CFO of a start up effort. * Build and Manage Finance teams in Latin America, Tokyo, London, New York and Hong Kong.

33 branch $100 Billion Retail Japanese JFSA regulated Broker/Dealer. Reported to the Company President. * Member of the Senior Management Committee. Managed eighteen professionals in six teams. CFO for a start up effort. Built the Company and the Finance function. * Business and Management Reporting - Designed and implemented all Financial and Performance reporting by Product, Broker and Customer Segment* Information Systems - Chaired Finance Steering Committee that implemented a Client Bookkeeping System.* Leadership - Chaired Task Force that designed and implemented a local Finance Data Warehouse * Implemented Oracle - Led Task Forces to design and implement a multi-currency Management Reporting Data Warehouse.CFO of a Restructuring effort during a recession. * Business Transformation/Change Agent - Re-sized the Company from a Pretax Loss of $225 million to a Pretax Income of $25 million within 1 year * Crisis Management - Modeled, planned and managed a $410 million Restructuring charge. * Profitability Improvement - Joint Ventured with a Japanese Bank. Closed 30 Branches. Amalgamated the Retail Private Client and Institutional Businesses.* Strategic Planning - Prepared Business Cases, Investment Proposals and Strategy Plans to Committees and Senior Executives.

A $75 Billion FINRA regulated Securities Broker/Dealer. Managed twenty professionals in six teams. * Accounting - Direct all facets of GAAP Accounting and Reporting* Regulatory Reporting - Coordinate FOCUS Net Capital Reporting to the NYSE and NASD. * Statutory Compliance - Oversee Compliance with NYSE and Federal Reserve Bank regulations. * Foreign Exchange (FX) - Coordinate global FX management and reporting with the Corporate Treasurer. * Financial Systems - Oversight for the General Ledger and the Sub-Ledgers. * Income Tax - Manage Accounting for global Transfer Pricing. Traveled regularly to London and Hong Kong. * Collaborative Executive - Cross-functional partner with the Directors of Corporate Tax, Regulatory Reporting, Treasury, Financial Systems, Investment Banking, Trading and Private Wealth and external AuditorsKey contributions:* Change Agent - Restructured the Accounting Department into Business Unit teams increasing value added services and eliminating 3 positions.* Implemented Oracle General Ledger. Reengineered accounting policies & procedures/process flows. Wrote functional requirements. Led legacy system gap analysis and solution design. Chaired implementation Task Force. Directed twelve professionals and two project managers from two leading Consulting Firms.* Created Special Purpose Entities - Realized significant Regulatory Capital and cost savings.

Managed Accounting and Consolidation of over 100 offshore Entities. Led a department of ten professionals. * Management Reporting - Direct and oversee for the International Business Units. * Regulatory Reporting - Filed Audited Financial Statements with major Stock Exchanges globally. * Statutory Compliance - Maintained New York State banking regulations. * Foreign Exchange (FX) - Executed FX and Equity hedging programs and FX leveling/management* Income Tax - Responsible for global Transfer Pricing. Traveled regularly to London, and Tokyo.* Treasury - Fund all International Branches and Broker/Dealers. * Collaborative Executive - Partnered with International Bank Senior Management, external Auditors and Tax Counsel. Promoted to Vice President. Key contributions:* Change Agent - Reengineered the accounting department, increasing value added, and eliminating 2 staff. Centralized international cost center and Business Unit hierarchies improving Management Reporting.* Income Tax - Transfer Pricing change globally from cost plus to revenue sharing.* Policies, Procedures and Internal Controls - Designed and implemented over mutual funds distribution, redemption and retrocession fees and over Broker incentive compensation.* Information Systems - Coordinated installation of a local area network.

Responsible for all facets of Regulatory Reporting firm wide. Implemented GAAP and FASB pronouncements.* S.E.C. - Prepared 10Q's and 10K's. Interacted regularly with the S.E.C. and external Auditors* NYSE - Filed Audited Financial Statements with the NYSE. * Statutory Reporting - Oversee U.S. Commerce Department and U.S. Treasury reporting and compliance. * Collaborative Executive - Cross functional partner with Accounting Policy, Consildations and Corporate Communications. Promoted to Assistant Vice President. Key contributions:* Prepared S-3 filings forDebt issuances.

Responsible for Parent Company accounting and financial reporting under GAAP. * Financial & Regulatory Reporting - Manage 10Q and 10K reporting of The Statement of Changes in Consolidated Shareholders’ Equity firm wide. Wrote footnote disclosures for Employee Stock and Option Incentive Plans, an ESOP and Treasury Stock* Accounting - Manage accounting for Income Taxes, Shareholders’ Equity, Employee Stock and Option Incentives, an ESOP and Treasury Stock transactions under GAAP.* Collaborative Executive - Cross functional partner with the Corporate Secretary, Corporate Treasurer and Director of Executive Compensation.

Reviews of policies and procedures, internal controls and contracts. Operational and Financial audits. Conducted preacquisition Due Diligence Reviews. Traveled extensively throughout the USA.