Ralph Magee Email & Phone Number

Glen Allen, Va

Trading Compliance Consultant who has completed the following long-term engagements.➢ Served as Subject Matter Expert in CAT reporting with extensive knowledge or SEC Rule 613➢ Worked with third-party CAT Reporting Agents and consolidation vendors to implement reportingsystems➢ Acted as Share Class Remediation Project lead on multiple engagements to remediate clients potentially over-charged on Mutual Fund transactions➢ Senior Consultant for projects related to clearing platform assessments, vendor evaluations andselection/decision-making, including annuity ownership changes and re-papering of advisory accounts➢ Reviewing, classifying and analyzing large-scale data sets to identify system breakdowns andinconsistencies, thereby attaining full-scope data sets for solution evaluation➢ Implementing Trade Suitability Review Systems for national broker-dealers and RIAs➢ Reviewing, revising and implementing Policies and Procedures and trade flow analysis for CapitalMarkets and Retail Equity/Fixed Income Trading➢ Developing and implementing a new compliance surveillance system for Equity and Fixed-Incometrading for national retail brokerage firms➢ Conducting OATS reporting audits for a leading national back-office provider and brokerage firms➢ Advanced user of Refinitiv/Thompson One/BETA, Smart Station/Supervision, Bond Desk, LAVA, Bloomberg, NASDAQ Trader, Schwab (Compliance 11), Protegent PTA, FINRA CAT Portal, Excel and Access Databases

Glen Allen, Va

Offering Charted Fishing Services for Bass (includes Smallmouth Bass, Largemouth Bass and Spotted Bass), Catfish (includes Blue Catfish, Flathead Catfish, Channel Catfish and White Catfish) Sunfish, Crappie, Stiffbacks, White Perch, Ring Perch, Yellow Perch, Spot, Croaker, Flounder, Stripers, Rockfish, Grey Trout, Weakfish, Speckled Trout, Puppy Drum, Redfish, Blue Fish, Dolphin, Tuna, Cobia, King Mackerel and Spanish Mackerel. Shad (includes Gizzard Shad, Mud Shad, American Shad, Hickory Shad), and Herring. These services are mainly offered on our local tidal rivers and bay which include, but are not limited to, the James, Pamunkey, Mattaponi, Potomac, Rappahannock, and the York Rivers. Also impounds like Buggs Island, Kerr Lake, Lake Anna, Chickahominy River, Chickahominy Lake, Lake Chesdin and Lake Gaston.

Glen Allen, Va

Direct report to the Managing Director of Compliance for First Clearing Corporation and the Deputy Director of Compliance for Wells Fargo Advisors. Responsible for the daily monitoring and enforcement of firm guidelines for Fixed Income Trading, redesign and implementations of trade monitoring systems and associate training with an emphasis on product knowledge. Branch supervision experience included daily monitoring of over 100 branch locations and all applicable Blue Sky rules and regulations. In addition, daily reports and detailed analysis of investment suitability were completed to insure adherence of firm guidelines and policies. This position required extreme attention to detail, excellent verbal and written communication skills, and vast knowledge of compliance regulations, detailed understanding of firm guidelines and the ability to work independently as well as lead a team of inexperience associates. Heightened Supervision Analyst experienc included reviewing trades of identified Wells Fargo Advisor brokers. Position required a high-level analysis of Financial Advisors and their business models while comparing that to industry regulations as well as stated customer investment goals.

In 2007, these activities generated over $81 million in retail sales commission and more than $4.6 million in trading profit for Wachovia Securities. Proven five-year track record of consistent profitability and revenue production. Provided liquidity to the Wachovia’s retail sales force, developed excellent working relationships with financial advisors and managed inventories for sale in excess of $35 million. Hosted bi-weekly market commentary calls to facilitate sales ideas and proposals. Actively managed the retail syndicate distribution of preferred stock and fixed rate capital securities from the primary market. Significant exposure to structured products such as equity-linked products, reverse convertibles and principal protected notes.

Ba, Business/Economics

High School Diploma