Leading provider of technology-driven solutions to banks, broker-dealers, mutual funds, and corporations globally. Created by the 2007 spin-off from ADP.President, Securities Processing Solutions (2009–2013)President, Ridge Clearing & Outsourcing Solutions (2007–2013)Corporate Officer and Member of Broadridge Executive CommitteeP&L responsibility across three business units with 1,400 associates overseeing all international securities processing (Europe, Asia, Canada) as well as business process outsourcing (BPO) for both US and international. • Built out and grew innovative, industry-leading, brokerage back office outsourcing product offering, enabling clients to eliminate in-house processing and achieve savings, while still retaining control of policies, procedures, and balance sheet. Added 20 major self-clearing broker-dealers with 1 million trades daily. • Grew clearing business 50% by developing unique service model and technology offering, ranking #1 in net new business among 20+ competitors. • Improved International operating margins six points vs. pre-financial crisis levels by restructuring organization, driving operating efficiencies and introducing new products which created additional streams of income from new and existing clients.• Received industry-wide recognition at onset of financial crisis for completely converting $70B of Neuberger Berman (Lehman) assets to Broadridge’s clearing business platform over one weekend. Enabled clients to maintain uninterrupted access to assets while also generating incremental annual revenue for Broadridge. • Built exceptionally strong management team and organization. Gallup engagement scores, initially among lowest within 15 business units, now consistently rank in top quartile.

$10B global provider of business process outsourcing and human capital management solutions. Also included Brokerage Services Group which was spun-off in 2007 to form Broadridge. P&L responsibility for unaffiliated broker-dealer clients and self-clearing outsourcing clients. Team of 450 associates. • Integrated two broker-dealer acquisitions to drive growth in clearing business and establish platform for new BPO offering.• Created and launched first of its kind BPO offering. Developed strategy, built entirely new leadership team, established operating capabilities, and increased revenues from zero to $25MM.

One of the first global, retail and advisor-based, on-line brokerage firms. TD Waterhouse subsequently merged with Ameritrade in 2005 to become TD Ameritrade.President, TD Waterhouse (2002–2005)CEO and President, National Investor Services Corp. (1999–2005)President, National Investor Services Corp. (1998–1999)Executive Vice President, Waterhouse Securities, Inc. (1996–1998)P&L responsibility for retail business with 1,500 associates located nationally. Scope expanded to include national branch office network, North American call centers, operations centers, and capital markets. Corporate officer, Member of Executive Committee of TD Waterhouse, and Member of TD Bank senior management group.• Repositioned retail brokerage business from brick-and-mortar model to on-line platform and grew business from 15-20 market ranking to one of the largest (top four) on-line brokerage firms in the world. Grew trading volume from 15k trades per day to peak of 350K through aggressive marketing, new product development, additional branches and call centers, and improved service infrastructure.• Built and expanded no-transaction-fee program to compete with Schwab and Fidelity. Grew this program to 80 fund families with over $30B in retail and advisor assets.• Reduced annual clearing expenses by $15MM and generated incremental annual revenues of $15MM by creating a new entity, NISC, to clear and process all brokerage related transactions for TD Waterhouse, its affiliates as well as non-affiliated introducing broker-dealers. • Built a unique high-touch, high-efficiency service model to support all retail branches, call centers, and the independent advisor business. Ranked #1 by Smart Money three consecutive years.

Vice President, Brokerage Operations (1993–1996)Vice President, Mutual Fund Brokerage Operations (1990–1993)Responsibilities initially included all mutual fund trading and operations and were subsequently expanded to include securities cashiering and custody activities. Directed staffs of 50 to 110. Managed new product and service development and maintained relationships with external depositories and clearing corporations.• Led development and rollout of highly successful, industry-leading “no transaction fee” mutual funds supermarket. Initiated program with seven non-Fidelity fund companies and expanded to 75, generating incremental increase in assets of $10B.• Increased clearing fee revenues more than tenfold by expanding number of introducing broker-dealer firms from 15 to over 200.

A national full service retail broker-dealer with branch offices in most U.S. states.Progressed through a number of roles of increasing responsibility in operations and service delivery, managing staffs of up to 90. Member of Credit Committee.