* Consult on Best Practices* Demo Sycamore Salesforce CRM, Sycamore Advisor Manager and Sycamore Commission Manager Products* Train Users on Sycamore Advisor Manager, Commission Manager and Compliance Manager Products* Work with Sycamore Colleagues to Further Enhance and Build Out Our Products* Manage Commission Pro Services Team for Broker/Dealers and RIAs Who Outsource Commission Processing to Sycamore

I offer consulting services to business owners. I typically market myself to executives at securities broker/dealers as an independent contractor. My clients have included: a private school, a professional artist, a transfer agency, a large broker/dealer, a compliance consulting firm, a technology consulting firm and an OSJ Branch Office Manager of a large broker/dealer. CAMS certified.

Focus items include: re-imaging and restoring vintage items, landscape oil paintings, silk floral arrangements, and semi-precious jewelry

Registered Tax Return Preparer

Chief Compliance Director for L. M. Kohn and Company's MidSouth Capital, Inc. Branch Network

I was the Chief Compliance Officer and the AML Compliance Officer. I created the firm's compliance program. I overhauled the firm's written supervisory procedures. I conducted branch office exams. I created the components of and managed the firm's annual compliance requirements, including the: Annual Regulatory Questionnaires, Annual Compliance Meetings, Outside Business Activity Questionnaires, Firm Element Continuing Education programs, and the Annual Disclosure Mailing programs. I conducted branch office exams. I managed the firm's customer complaint reporting, record keeping and resolution processes. I worked directly with state, FINRA and SEC regulatory officials on periodic routine and other interim examinations. I worked directly with outside counsel on matters of litigation and policy. I maintained the firm's Form ADV, Form BD and Form BR and made Form U-4 and Form U-5 filings as well as all interim updates to each. I maintained the firm's FinCEN files, conducted searches and filed suspicious activity reports, as needed. I performed all the firm's advertising review, including filings with FINRA's Advertising Review Department and related record keeping. I managed the licensing and registration transition of new hires into the firm. I performed and taught staff to perform email and transaction surveillance. I maintained the firm's web site, created content and reviewed content submitted by others for inclusion on the site. I trained home office staff and supervising principals as well as representatives and sales assistants. I worked directly with other members of the executive staff and home office staff on a nearly daily basis on a broad range of matters including: marketing, recruiting, fiscal responsibility efforts and compliance. I managed the firm's vendor relationships including those with our: independent AML auditors, email storage and surveillance provider, outside counsel, and industry regulators.

See details under MidSouth Capital, Inc. Beyond the details provided there from late fall of 2011 and into the late spring of 2012, I finished several regulatory responses, continued to work open customer complaints and filed MidSouth's Form BDW and Form ADV-W and assisted in the transfer of MidSouth's representatives to L. M. Kohn and Company ("LMK"). I assisted LMK in re-contracting and re-papering the licensing and registration files of the transferred representatives. I reviewed and then overhauled MidSouth's web site to reflect our change from a FINRA registered broker/dealer to a network of branch offices associated with LMK.

I assisted the CCO in preparing responses for FSC's internal audit, AIG's corporate internal audit, the NASD (k/n/a FINRA) and the SEC examinations. I submitted edits for the firm's written supervisory procedures. I worked with the CCO to improve the firm's Sales Practice Manual, new account form agreements, annual compliance questionnaires, privacy notices, business continuity plans, optical storage system certifications, branch office examination workbooks among other compliance components. I worked with operations, surveillance and compliance staff to review and edit the logic and severity ratings for the firm's transaction review rules engine. I reviewed and offered suggestions for improving the firm's surveillance reports. I was the project manager responsible for the on-line signature guarantee log program. I championed the closing of non-legacy foreign accounts. I created the list of compliance assessment fees to charge delinquent representatives. I was the local liaison from FSC to the AIG network of broker/dealers AML Compliance Officer. I also reviewed outside business activity questionnaires. I drafted and reviewed and edited drafts of Compliance Journals submitted by others, which we used to update staff and the sales force and their staff on matters of firm policy. I reviewed and either approved and denied marketing reimbursement requests received from registered representatives. I also fielded compliance questions from our sales force and their staff.

I performed advertising review. I conducted branch office examinations. I developed and delivered content for the annual compliance meetings, including AML topics. I reviewed and recommended revisions to monthly supervision reports. I reviewed and recommended revisions to audit modules. I drafted surveillance guidelines.

VP - New Office Integeration & TrainingVP - Operational OversightVP - Business Review / Operations & Commission Manager

I managed back office operations for a number of broker/dealers. At times we ran as many as three broker/dealers with seven clearing firm agreements concurrently. My contributions included developing, reviewing, managing, and refining processes, policies and procedures to accommodate our growth. One of the most visible areas of my accomplishments included managing the commission processing staff. My staff ran weekly commission cycles without fail for ten years. They handled 18,000 plus line items per week and maintained an average processing accuracy rate in exceeding 99.94%. I was the senior contact for new OSJ branch offices. I conducted mock regulatory audits to help new OSJ offices get set up correctly. I worked with transition coordinators to finalize new offices" transitions into IFG. By the time I left IFG, including my prior time with FSC, I had assisted more than 5,000 representatives in transferring their client books from one broker/dealer to another. At IFG I managed the back office IT / IS staff. I co-managed the firm's document imaging and work flow mapping efforts. I was the Operations contact for all service providers and product vendors with selling agreements with IFG. I worked with our Controller and our outside auditing firm during annual retention margin reviews, I met with SEC and NASD (k/n/a FINRA) examiners during broker/dealer examinations. I worked closely with the Chief Compliance Officer to co-develop operational and branch audit checklists. I authored and edited annual updates to the firm's Operations Manual. I trained staff through IFG University and Sales Assistants during our Annual Education Conference. I managed business review staff, now commonly called Supervising Principals. I managed the testing and updates to our back office systems. I developed and managed the use of transaction surveillance reports. I developed commission suspense rules and policies and processes for reviewing and releasing commissions.

I supervised the MFA Service Desk. I performed new accounts and application-way trade reviews. I worked with the UMC IT and UMC transfer agency staff to debug their back office systems. I managed the production of the Product Menu and Monthly Product Updates. I managed the production of the Weekly Adviser, a newsletter for representatives. I initially worked in the financial planning and investment advisory department. Later, I helped create and supervise the MFA Service Desk, which was designed to meet the daily and long-term needs of our OSJ branch offices. In August 1988, I moved to Indianapolis, IN to work with a sister broker/dealer, MONY Securities Corporation, and a sister transfer agency, Unified Management Corporation. At UMC, I served as the OSJ Supervising Principal for 4,500 registered representatives. My accomplishments included: supervising a call center staff of seventeen employees, supervising the transfers of FSC and MONY securities representatives' client accounts, performing suitability reviews, and resolving escalated service issues for both FSC and MONY Securities Corporation. I performed and taught suitability review. I trained back office system use to staff, representatives, and their sales assistants. I taught report writing using IQ and SQL. I trained others in matters of firm policies and procedures as well as in industry rules and regulations.