Loretta Ponce Email & Phone Number

Initiate and implement the operations and new account application processes associated with the business of a newly purchased Financial Industry Regulatory Authority, Inc. (FINRA) member broker/dealer firm specializing in wholesale Reg. D private placements of direct participation programs. Work closely with FINRA consultant(s) and legal counsel to achieve compliance with securities laws and FINRA rules. Approve selling agreements with retail broker/dealers. Review and approve correspondence and power point presentations and other ancillary documents presented to retail broker/dealers and their accredited investors. Supervise personnel reviewing subscription documents. Provide complete estate services for transfer or re-registration on behalf of issuer. July 2007, process name change of broker/dealer from AmTex Associates, LLC to Provident Asset Management, LLC with State Securities Board and FINRA. Hire, train and supervise personnel. Coordinate the daily administration of operations. April 2008, hire new Operations Manager and supervise the opening of a new branch office in Tampa, Florida. Serve as Chief Compliance Officer as firm grew from three to over thirty five employees in under two years. October 2008, received a successful FINRA exam with no operational findings. Position terminated upon closing of firm

Manage and supervise the daily administrative operations and follow-up of the Dallas Wealth Center (OSJ) consisting at the time of over sixty-five employees including fifty financial advisors, sales assistants and administrative support. Manage and balance both OSJ general ledger and error account, in addition to previous experience in positions held. Review/release/reject incoming and outgoing captured e-mails. Sign off on majority of new account 529 disclosure documents for suitability purposes. Responsible for interior design/finishing of the Dallas Wealth Center with over ninety-two pieces of artwork, border and foliage. Voluntarily resigned due to illness.

Implement conversion policies and create procedures to establish prominent district OSJ/hub for the western region. Responsible for twenty-nine highly productive financial advisors and 115 bank branch offices. Supervised staff of sixteen. Was able to anticipate conversion oversights and actively sought solutions to minimize any negative impact to the customer as well as to the financial advisors. This enabled the financial advisors to maintain and exceed production goals during and after conversion. Implemented operational workflow training, follow-up and compliance rules and regulations. As a direct result, our office received excellent post conversion and subsequent compliance audits with no operational findings. Middle Office “roll out” team member. Successfully completed roll out of Pasadena California, Richmond and Norfolk Virginia, Los Angeles Trading Floor and Miami Florida offices. Appointed AVP April 2002. As a result of continuing education regarding changing policies and procedures, received a “perfect” sales and operational audit (zero findings). Conduct semiannual office reviews. Manage error account. Operations specialist chosen to participate by upper management in creation and implementation of operational processing improvements on an ongoing basis. Left to assume position in Addison, Texas office.