It is critical to have a seasoned industry professional to interpret the rules and apply industry best practices. The FINOP must have a clear understanding of the firm’s business, strategies, risks, operations, and financial reporting requirements.Outsourcing enables you to focus on what truly matters: exceeding client expectations, growing the business, and generating revenue. We stay abreast of regulatory compliance issues, new accounting rules and their effect on your business, so you don’t have to.Why Choose FINOP & CFO Solutions?* We provide unparalleled customer service, delivering professional solutions* We partner with your team to provide accurate and timely regulatory reporting, CFO and accounting resources* Our expertise provides quality financial reporting, insights to trends, and innovative ideas* We are a strategic partner working directly with you as your trusted advisorFOCUS: FINOP, Series 27, CFO, Chief Financial Officer, CMA, Certified Management Accountant, CPA, Mergers & Acquisitions, Strategic Planning, Systems Integration, Financial Reporting, Regulatory Reporting, Project Management, Compensation Plan Design, Financial Analysis, Key Performance Indicators, Capital Raising, Financial Controls, Audit Compliance, Accounting

Leverages finance and operations leadership skills to drive profitable revenue growth. Top flight strategist and team-builder; excels in aligning expense with opportunity to optimize return on investment and shareholder equity. Capital raising, risk and credit management expertise ensures preparedness to seize market opportunities. Experienced in firms of all sizes from startups, midsized to Fortune 500. Expert in financial planning and analysis; empowers executive leadership to make sound and timely decisions. Extensive history of success working with boards and executive stakeholders; produces actionable internal and external consensus to deliver results while remaining aligned with organizational objectivesFOCUS: FINOP, Series 27, CFO, Chief Financial Officer, CMA, Certified Management Accountant, CPA, Mergers & Acquisitions, Strategic Planning, Systems Integration, Financial Reporting, Regulatory Reporting, Project Management, Compensation Plan Design, Financial Analysis, Key Performance Indicators, Capital Raising, Financial Controls, Audit Compliance, Accounting

Finance executive with an expertise in senior leadership roles, strong financial controls, financial and regulatory reporting, strategic planning, proactive analysis and metrics/reports required to understand current business results compared to plan and financial modeling for current and future business. FOCUS: FINOP, Series 27, CFO, Chief Financial Officer, CMA, Certified Management Accountant, CPA, Mergers & Acquisitions, Strategic Planning, Systems Integration, Financial Reporting, Regulatory Reporting, Project Management, Compensation Plan Design, Financial Analysis, Key Performance Indicators, Capital Raising, Financial Controls, Audit Compliance, Accounting

Developed strategy and directed all finance activities. Manage staff of 11 to execute management, financial, SEC and regulatory reporting; G/L; payroll; sales/commissions compensation; A/P; firm trading; risk management; bank reconciliation and budget/forecasting. Develop performance based metrics to measure business results to strategic and tactical goals. Member of executive team.• Hired to strengthen the control environment and resolve preexisting regulatory and audit issues. • Supported growth from a single broker-dealer with $60M in annual revenue to over $250MM multi-faceted wealth management division. • Awarded additional responsibility for the Premier Banking startup division in 2010 to serve high net worth clientele via 150 premium bankers; currently leading the effort to attain 100% growth over the next three years • Seamlessly absorbed the $60M, 100 employee Private Bank & Trust business line in 2009• Reorganized Finance Department along functional and business unit lines and established strong financial controls and procedures to increase efficiency and reduce Finance Department staff 20%• Drove $2M in compensation savings while dramatically improving management forecasts and planning by implementing an M&O sales, commission and compensation solution.• Improved broker productivity from 80% of industry average to 120% by developing and implementing programs to better align rewards with actual account manager performance; reduced annual broker turnover rate from 40% to 15% through a focus on recurring revenue and structuring a deferred compensation planFOCUS: FINOP, Series 27, CFO, Chief Financial Officer, CMA, Certified Management Accountant, CPA, Mergers & Acquisitions, Strategic Planning, Systems Integration, Financial Reporting, Regulatory Reporting, Project Management, Compensation Plan Design, Financial Analysis, Key Performance Indicators, Capital Raising, Financial Controls, Audit Compliance, Accounting

Managed all financial functions of the firm including accounting, treasury, risk management, financial and regulatory reporting. Member of senior management committee.• Led the effort to make the Company SOX compliant in only 18 months. Originally hired as a SOX specialist, promoted to CFO after only 6 weeks to take leadership of the entire Finance function• Converted G/L from an array of Excel spreadsheets into a comprehensive and scalable systemFOCUS: FINOP, Series 27, CFO, Chief Financial Officer, CMA, Certified Management Accountant, CPA, Mergers & Acquisitions, Strategic Planning, Systems Integration, Financial Reporting, Regulatory Reporting, Project Management, Compensation Plan Design, Financial Analysis, Key Performance Indicators, Capital Raising, Financial Controls, Audit Compliance, Accountingnting

The ensured integrity of financial data. Managed general ledger and monthly closing process. Prepared and audited financial statements and coordinated all financial information with Parent. Automated processes and analysis through systems generated solutions. • Ensured compliance with Sarbanes-Oxley and enhanced financial controls by implementing an account ownership and responsibility matrixFOCUS: FINOP, Series 27, CFO, Chief Financial Officer, CMA, Certified Management Accountant, CPA, Mergers & Acquisitions, Strategic Planning, Systems Integration, Financial Reporting, Regulatory Reporting, Project Management, Compensation Plan Design, Financial Analysis, Key Performance Indicators, Capital Raising, Financial Controls, Audit Compliance, Accoounting

Prepared business and financing plans; spearheaded venture capital funding, investor presentations, development of corporate/finance department structure, administrative functions, and contract negotiations. Implemented G/L; established accounting policy, controls and procedures. Reported to the CEO.FOCUS: Chief Financial Officer, CMA, Certified Management Accountant, CPA, Mergers & Acquisitions, Strategic Planning, Systems Integration, Financial Reporting, Regulatory Reporting, Project Management, Compensation Plan Design, Financial Analysis, Key Performance Indicators, Capital Raising, Financial Controls, Audit Compliance, Accoounting

Developed finance strategy and ensured execution of finance functions for Investment Banking, Retail, Corporate Finance, Asset Management, Trading and Infrastructure. Managed staff of 50 to execute G/L; payroll; sales/commissions compensation; A/P; firm trading; risk management; tax; bank reconciliation; budget and treasury. Presented to investors, board of directors and creditors; directed SEC and regulatory reporting. Administered 401K plan and finance components of benefit plans.FOCUS: FINOP, Series 27, CFO, Chief Financial Officer, CMA, Certified Management Accountant, CPA, Mergers & Acquisitions, Strategic Planning, Systems Integration, Financial Reporting, Regulatory Reporting, Project Management, Compensation Plan Design, Financial Analysis, Key Performance Indicators, Capital Raising, Financial Controls, Audit Compliance, Accounting• Reduced finance personnel by 15% by upgrading systems and workflow. Installed state of the art revenue analysis/compensation system and PeopleSoft G/L, A/P and Asset Management software• Cut P&L closing time by 40% by designing exception reports that better highlighted financial issues • Supported growth through acquisition candidate analysis, outsourcing, new product development, joint ventures, incentive compensation plans, new business lines and restructuring/refinancing • Instituted formal budgeting/forecasting and other performance measurement processes • Developed innovative financing structures that increased regulatory capital by 20%

Directed internal and external financial reporting; managed staff of 7. Analyzed and reported on company performance and potential exposure. Interfaced with external auditors, parent company, creditors and rating agencies. Responsible for counter party risk management function and member of Risk Committee.FOCUS: FINOP, Series 27, CFO, Chief Financial Officer, CMA, Certified Management Accountant, CPA, Mergers & Acquisitions, Strategic Planning, Systems Integration, Financial Reporting, Regulatory Reporting, Project Management, Compensation Plan Design, Financial Analysis, Key Performance Indicators, Capital Raising, Financial Controls, Audit Compliance, Accounting