S F. Email and Phone Number

Vice President – Operations/Compliance OfficerDeveloped, implemented and maintained firm's Operational, Compliance and Supervisory procedures for Registered Investment Advisor. Select achievements:• In conjunction with the Chief Investment officer, responsible for managing high net worth individuals and institutional portfolios for a wrap-fee money management program• Accurately and effectively administer the daily portfolio management operations of fee based accounts • Responsible for all facets of trading including equity, options, and fixed income transactions for Investment Advisory client portfolios• Coordinate and manage the creation of quarterly reports documenting account performance, holdings and activity.• Implement client investment recommendations according to their objectives and monitor progress• Interface with high net worth clients on a daily basis by phone and in meetings.• Manage the daily operations ensuring compliance to industry regulations and policies and procedures• Instrumental in implementing and daily monitoring of internal controls to verify employee compliance with firm's policies and procedures• Responsible for calculating and preparing quarterly management fee billing• Liaise with clearing firm, broker/dealer back office and major vendorsSOFTWARE:Proficient in Microsoft Office suite, NFS Wealthscape, Hanlon Advisory Software, Schwab StreetSmart Edge, Barracuda Network Cloud Control Email Monitoring, Broadridge Transfer Agent, experience with Bloomberg, Security APL.

Vice President of Client ServicesDesigned, developed and implemented policies and procedures for new formed Real Estate Investment Trust’s (REIT) Investor Relations Department. Select achievements: • Report directly to and worked with executive management team (C-Suite)• Developed and provide information to the Company’s Board of Directors on a quarterly basis, or more often, as appropriate, on investor activity • Established investor relations department building investor data base, managed investor relations• Conduct / coordinate proxy solicitations for annual and special meetings of shareholders• Monitored shareholder investments to ensure Accredited Investor compliance with Company’s Regulation D offering that raised over $100 million through over 3,000 investors• Handled incoming advisor and client phone calls to provide operational expertise, share industry and organizational best practices, troubleshoot complex situations and resolve service issues• Created and implemented shareholder email communication systems• Developed and maintained shareholder database for quarterly income distributions and 1099-DIV reporting• Primary liaison between company, transfer agent, shareholder custodians and various other outside vendors• Train and supervise staff of 5 for the daily Real Estate Investment Trust (REIT) operations. Enhanced operational performance by establishing standardized cross training procedures• Implemented client service procedures to ensure the highest client satisfaction