• Interim General Manager for a small software company focused on the independent insurance agency market• Fractional COO for a startup FinTech in the wealth management industry• Business Development partner for a medium sized FinTech company

• Created first company Product Roadmap. Implemented roadmap software(AHA) and created a process to update semi-annually and report on progress.• Built training team in six months, developed an implementation training plan for second client. • As part of the client onboarding built a milestone based product roadmap and progress towards implementation goal. Aligning robust conversion plan, with product milestones.• Created companies overall value proposition and GTM strategy. Led the senior team to create annual business plan, including organizational goals, metrics and plan milestones• Created a client engagement model for both clients on roadmap and company progress.

Created and developed the "digital strategy" for Fidelity's institutional customers. Assembled a team to implement the strategy.Developed a business case based on the digital strategy, outlining a technology spend of $100M over three years and opportunity to reduce processing costs by 33%, positive ROI and a "go to" market strategy.

Executive leadership for the client management and client integration team supporting 250 institutional clients of National Financial. P&L responsibility for the 180 person team.• Developed, organized and led a cross functional team to “on-board” 46 new institutional clients to Fidelity over 18 months, resulted in $100B in net new assets and $100M in annualized revenue. Overall client satisfaction was rated an 8/10 for the on-boarding experience. • Re-organized the team to streamline accountability and to insure faster decision making, including a more team orientated approach to key decisions affecting the organization.• Developed a pro-active metric driven approach to managing service client satisfaction and operational capacity, including a predictive model for the Net Promoter Score (NPS). • Executive sponsor for National Financial’s Service Steering Committee, responsible for engaging top clients monthly and twice annually in person to continuously improve the service experience

Completed $52M worth of technology enhancements to integrate a new client to the Fidelity platform.Conducted three mock test conversions and facilitated "business readiness" scenarios for client and internal Fidelity stakeholdersTrained new client on all Fidelity systems and processes and successfully converted new client to the platform, converting 1M accounts and $64B in assets.

Responsible for the overall product development lifecycle and successful execution of all Advisor facing technology enhancements. Oversight and management of an annual technology budget of $60M and leadership for seventy associates. • Created a five year strategic vision and technology product roadmap to expand the features and functions of the platform. Strategic plan introduced innovative solutions to help clients grow and differentiate National Financial in the marketplace.• Created a business case with return on investment calculation as well as competitive assessment before and after the investment. • Received numerous industry awards as a result of the Platform work, Aite Best Broker Workstation 2012, 2013 BISA – Technology Innovation Award and FTF Best Clearing and Settlement Solution.• Present to sales prospects and existing clients Platform Strategy & Roadmap. Launched numerous new products with a media tour and press interviews. Trained and communicated to clients on new services and benefits. Maintained client engagement with ten steering committees. • Lead technology member of a large sales team to help secure a significant new client. “Sales pitch” resulted in an extensive review of prospects systems and capabilities. Prospect required a $50M investment over two years to expand the platform.

Responsible for leadership and oversight of the strategic initiative to expand the capabilities of all Fidelity brokerage channels for international processing. Completed international technology development effort and created a global support model. • Created international product positioning and marketing collateral and launched global trading capability to existing domestic customers, including a press tour and media coverage.• As part of the global expansion venture, assumed direct leadership for the creation of a new firm, Fidelity Clearing Canada, offering clearing, custody and execution services in Canada. Completed the build out phase of the venture, including real estate location, regulatory capital requirements, client acquisition strategy, revenue projections and a clear path to profitability.• Assumed the leadership position for a new business, self-clearing outsourcing. Completed a competitive assessment, sales strategy, client on boarding and support model and technology build out. Due to the market size, and sales penetration opportunity made the determination that the new venture was not viable and recommended to stop the initiative and write off the investment.

Transformed the US operations into a "self-clearing broker dealer. Effort included a new operating system, new operating model and approval by regulatory entities (FINRA) and membership acceptance to DTCC and NSCC. •Twice successfully negotiated a new processing agreement, saving the firm 30% in run rate processing costs. Converted the firm from one clearing provider to another saving the firm 25% in costs over a two year time frame.•Developed a plan and built an international trading, execution and settlement service marketed to domestic (US) brokerage firms. Led the initiative from inception and built a fully functioning service model. Developed marketing and sales materials, assisted the sales team on all sales calls. Negotiated legal agreements and pricing terms with the first customer.•Led the team to install and operate a global portfolio accounting system to support the “Transition Management” business. System included portfolio reconciliations, communication to custodians via SWIFT messages and performance, holdings and analytical reports. Built a “buy side” portfolio operations team to service the business.

Direct responsibility for back office transaction processing, credit and operational risk management. Responsible for two lines of business, BROWNCO, an on-line discount brokerage firm and JPMI a brokerage offering designed to capture 401k rollover assets.• Developed a comprehensive plan that allowed the firm to change the strategic direction regarding the on-line trading web site. The plan consisted of outsourcing the trading component of the web site to a third party.• Developed a plan to move the securities processing system (ADP/SIS) from “in-house” to a service bureau environment, creating greater operating efficiencies and cost savings of 35%.• Developed a plan, negotiated financial terms and executed a contract to install a new margin system (SunGard Margin Advisor). The new system will increase operational efficiencies by 50% and increase risk management by 75% upon installation of the product. • Developed and implemented a conversion plan and organized the conversion team that enabled the retail customer to have a smooth transition from BrownCo to E-Trade. Coordinated with all the clearing entities and regulatory organizations to insure a successful conversion of accounts, in accordance with all regulations. Resulted in the most successful conversion in E-Trades history.

Oversaw transaction processing and technology management of the broker dealer, including securities lending, margin lending, risk management and all back office operations (Purchase & Sales, Account Transfer, New Accounts, Banking, DTC Settlements, Dividend & Corporate Actions. • Upgraded sales talent by hiring an additional three senior sales representatives from outside the organization. Positioned the firm to capture three significant new pieces of business, which in total would have contributed to an overall revenue growth of forty percent. • Implemented a metric based approach to the sales pipeline, created a formal sales pipeline process with accountability from the sales representatives for profit, revenue and lead goals. Re-engineered how a sales prospect is first introduced to Penson.• Re-organized the information systems team to better accommodate business needs globally, between Canada, London and Dallas. • Built a management team from the ground floor, revenue and transaction volume increased 100%, personnel increased by 100%. Recruited two strong outside operational managers, increasing the experience of the management team.