Full service wealth management and capital markets firm now part of Raymond James, one of the largest full service wealth management and capital markets firms not headquartered on Wall Street.Responsibility to establish and maintain procedures to ensure firm compliance with FINRA (NASD Rule 2711, NYSE Rule 472) and SEC Regulation AC (procedures for e-mail monitoring, Public Appearances, & Chinese Wall communications); Supervision of research reports using Blue Matrix publication system; and manage special projects for Director of Equity Research.* Established and maintained procedures and regular management reports which ensured research department compliance with Regulation AC; in addition, provided supervision of research reports during regular business hours and late night periods* Special projects – analyzed feasibility and successful reintroduction of Price Targets in research reports, competitive analysis of regional brokerage company equity research coverage, participate in SIFMA conferences and work with legal/compliance departments resulting in policies/procedures in accordance with industry best practices, guidance for several sector coverage initiation reports * Produced bi-monthly publication of research department Sector Review & Outlook Report which focused on economic trends, sector performance, research analyst sector ratings and outlook* A major accomplishment was the mentoring and coaching of associate analysts who, based on their merit and efforts, are now senior analysts on the Buy & Sell Side

Research focused on Technology, Telecommunication/Transaction Processing & Environmental Services sectors of equity markets.* Established technology sector research platform in Memphis, TN that successfully competed against incumbent Southeastern based peers such as J C Bradford and Robinson Humphrey. This effort resulted in early identification of Stereo Lithography pioneer 3D Systems, LED innovator Cree Research and healthcare IT vendor CPSI, Inc.* Successfully identified technology revival in wireless paging markets with recommendation on two-way wireless data pioneer SkyTel Communications* Researched the growth potential from Telecom Deregulation for alternative non-facilities based telecom carriers such as LDDS Communications and for Outside Plant Construction specialists such as Dycom Industries and MasTec* Early recognition of debit card & heath care benefits processing markets growth potential with recommendations of Concord EFS and Envoy Corporation* Launched value added research in the Environmental Services sector which resulted in recognition from institutional investors and companies such as Browning-Ferris Industries and The Insituform Companies* Research focus resulted in investment banking mandates in coverage universe. Lead Firm research analyst in capital transactions for 3-D Systems, Cree, CPSI, Comptronix, Browning-Ferris Industries, Insituform Mid-America, A+ Communications, Mobile Telecommunications/SkyTel, MasTec, Dycom Industries, Concord