• Various contracting projects with end clients such as LPL Financial, Raymond James, and Northbound Securities• Provide outsourced regulatory services including compliance and/or anti-money laundering compliance functions for Broker Dealers and Registered Investment Advisors• Chief Compliance Officer of multiple RIA firms - State and SEC• Reviewed account opening documents and provided risk ratings using Lexis Nexis to confirm details when necessary• Advertising and marketing reviews• Series 24 principal trade review and email review• Update form ADV and CRS as well as code of ethics monitoring• Manage AML program including transaction monitoring and review for two broker dealers• AML Reviews of cryptocurrency trades• Daily trade review, email review, and exception monitoring• Identify operational and compliance deficiencies and develop plan of action • Written Supervisory Procedure (WSP) review and analysis and creation/updates as needed• Account opening reviews to ensure all documentation and records are correct• Provide continuing education programs and training for Registered Investment Advisors and Broker- Dealers

Responsible for accounting, commissions, compliance, and operations for growing brokerage firmPosition Highlights:• Provide oversight and management of all financial functions for Peak Brokerage Services and its three related entities, reporting to the CEO.• Perform or supervise all daily, monthly, quarterly and annual accounting functions - A/P, A/R, multi state payroll, bank reconciliations, account reconciliations, and general journal entries for four separate entities• Created yearly budgets and approved all expenses• Produce monthly financial reports and quarterly financial reports for review by the partners.• Manage cash flow and provide cash flow forecasts and variance analysis to the CEO and partners.• Engage the annual independent audit for all entities and coordinate with the auditors for timely completion of the audit reports.• Increased alternative investment revenues approximately 8x year over year with expectation of further growth.• Backup to CCO/Chief Compliance Officer• Project manager for Sycamore/Salesforce implementation of commissions and account workflow system• Department head in charge of all accounting and finance for the broker dealer and communicating with the offsite FINOP• Designated supervisor for private placements, REITS/alternative investments, and options• In charge of supervision and trade surveillance/approvals as well as advertising reviews• Create and update written supervisory procedures• Updated firm CMA to add multiple new lines of business and updated DTCC membership agreement• Supervise commissions processing twice monthly for 85 plus reps• WebCRD Updates• Email review• Raymond James alert monitoring• Handle any operations issues at a senior level

Compliance Specialist responsible for working with Chief Compliance Officer to meet industry rules and regulations with responsibility for AML review. Position Highlights: • Development and oversight of policies & procedures that ensure compliance with statutes and regulations; • Created journal entries for fixed income trades and coordinated all operations aspects of trading and settlement functions. • Review AML reports daily and ensure all rules are being adhered to. • Coordinated with accounting on reviewing commission reports to make sure reps were paid accurately and reviewed AR reports • Provide principal review of new account applications ensuring that suitability guidelines are met. • Firm email review • Daily trade review • Support existing representatives on the Pershing platform, including phone and email support in areas such as: transfers, cashiering, retirement accounts, corporate actions, etc. • Work closely with IT and accounting departments to continually assist in maintaining the firm’s books & records.

Branch Manager Supervisor responsible for the supervision and approvals of sixty plus registered representativesPosition Highlights:• Monitor activity in all client accounts including reviewing all trades and restrict if necessary• Approve all new client accounts making sure accounts are complete and following established AML and CIP rules• Approve alternative investments• Approve advertising for all representatives and submit to FINRA when necessary• Complete heightened supervision documents for reps on heightened supervison• Update form ADV• Grant exceptions on a case by case basis• AML transaction monitoring and process improvement when necessary• Email and correspondence reviews of all brokers and corrective action if necessary• Identify processes and procedures that potentially could be improved and submit plan of action

Senior Analyst and Designated Principal responsible for managing Principals whom execute both domestic and international Retail, Prime Services and Institutional Futures, FOREX, and Equities new account processing and compliance including, but not limited to establishing and monitoring suitability determinations, obtaining the asset specific disclosures, execution of firm Anti-money Laundering and Customer Identification Programs, and regulatory inquiries.Position Highlights:• Audited state registrations saving firm over 120K per year• Review and approval of websites• OATS processing• Distribute, resolve and upload complaints to FINRA• Approve all Institutional accounts• Transaction monitoring of new accounts and reporting suspicious activity• Revise account opening and compliance procedures as needed to improve the efficiency of the account opening process and minimize risk to the firm• Write new procedures and update processes as necessary• Manage 4 direct reports in completing the approval and compliance processes• Successfully transitioned IBFX new accounts process to Tradestation• Responsible for the department directive of approving accounts under direction of the Chief Compliance Officer• Review chat sessions with clients to ensure all regulations and procedures are followed• Review subordinate’s work to ensure procedures are followed • Periodic review of subordinate account openings for completeness • Manage approval of all new accounts for firm both retail and institutional• Manage AML/CIP checks on new accounts• Provide guidance on new account entering and approval process• Review exception reports and obtain any information necessary to correct deficiencies• Close accounts if necessary due to regulatory reasons/internal reviews• Register and update employees on FINRA and NFA

Managed compliance, registration, operations, as well as mutual funds, new accounts and trade desk issues.Position Highlights:• OFAC/AML reviews and SAR reporting as necessary• Perform branch office audits• Developed RIA business from currently unused RIA• In charge of the firm’s continuing education program• Supervise Registration, Operations, Mutual Funds • Supervise and approve new accounts • Approve advertising for reps• Review and approve options trades• Revise and update written supervisory procedures• Other compliance duties on as needed basis

• Transaction monitoring and Suspicious activity reporting (SAR) when necessary• Review Exception blotters for mutual funds and variable annuities• Approve new reps for the firm• Review and approve rep advertising and continuing education• Training and supervision of non principal examiners• Project manager for all Compliance Information Technology• Reviewed Brokerage Statements for Representatives