Core Responsibilities • Deal execution from launch to settlement, both public and private transactions – extensive exposure to Non-Brokered private placements.• Order book management and stock allocation. • Trade execution and settlements in relation to New Issue Business.• Investment Banking revenue calculation and reporting, weekly, monthly, quarterly.• Review for content and accuracy: Subscription Agreements, Term Sheets, Press Releases, etc. • Re-Org issues, Options, Broker Warrants execution, exercise, and distribution.• Manage documentation flow related to investor subscriptions and redemptions (Registration, Sub Docs, Prospectuses, Due Diligence, and et.al).Key Accomplishments• Develop new ways to streamline and improve key product management processes.• Identify and make recommendations for opportunities of relationship service improvement and potential cross-selling opportunities.• Acting Manager of the ECM department based on experience and motivation.

Note: Thomas Weisel purchased Westwind Partners in late 2007Core Responsibilities • Deal execution from launch to settlement, both public and private transactions.• Global and domestic Trade settlement.• Agency revenue and syndicate accounting and payout scheduling; AP and AR forecast and preparation; P&L reporting and analysis.• Delegation of deal facilitation and operations to analyst and trade desk coordinators.• Legal documentation review and revisions, including but not limited to Prospectuses, Greensheets, Term Sheets, Subscription Agreements, and Share Certificates; provide detailed explanation to clients and custodians.• Actively communicating with Corporate Counsel, Issuer’s Counsel, Transfer Agents detailing all matters with regards to registration, deal closing, transfer payments, agreements, etc.Key Accomplishments• Developed stronger accounting and analytical skills.• Improve and build upon client relationships by the issuing company.• Developed the core structure of a formalized manual for Investment Bankers on the procedures of equity capital markets.

Core Responsibilities • Deal execution from launch to settlement, both public and private transactions.• Global and domestic Trade settlement.• Agency revenue and syndicate accounting and payout scheduling; AP and AR forecast and preparation; P&L reporting and analysis.• Delegation of deal facilitation and operations to analyst and trade desk coordinators.• Legal documentation review and revisions, including but not limited to Prospectuses, Greensheets, Term Sheets, Subscription Agreements, and Share Certificates; provide detailed explanation to clients and custodians.• Actively communicating with Corporate Counsel, Issuer’s Counsel, Transfer Agents detailing all matters with regards to registration, deal closing, transfer payments, agreements, etc.Key Accomplishments• Developed stronger accounting and analytical skills.• Improve and build upon client relationships by the issuing company.• Developed the core structure of a formalized manual for Investment Bankers on the procedures of equity capital markets.

Core Responsibilities• Deal based Retail allocations and trade order contracting using internal NIAD system.• Coordination of all roadshow marketing with retail throughout the extensive Canadian branches. • Responsible for balancing all House and retail inventory accounts.• Executing Cancellations and Amendments to all deal with delegation to the Settlements Department. • Assist with all Institutional/Retail matters pertaining to deal related matters. Key Accomplishments• Acted as primary to close the largest Private Placement financing in the company’s history at the time.• Excelled at the entry temporary role to be offered the position full-time.• Developed contacts and relationship within the ECM sphere throughout the Broker Dealers across Canada.

Core Responsibilities• Provided support for the Institutional Equity Sales & Trading desk; including preparing presentations and proposals, coordinating schedules, arranging travel and meeting itineraries, conference calls, private functions and board meetings.• Prepared domestic and global roadshows for corporate clients and research analysts. • Arrange client appreciation days and recruitment drives.Key Accomplishments• Implemented numerous Corporate Roadshows and executed well received private function. • Introduced a marketing tool in the form of a weekly distribution to clients notifying them of upcoming events and analyst visits in order to market sector research and generate interest.• Strengthened client base and company support by organizing events such as Client Appreciation Day • Increased productivity by restructuring and simplifying internal marketing communication, reducing duplicate processes within administration.