Responsibilities in addition to those with Cypress Capital below:• Supervised home office and two branch offices• Facilitated onboarding of new advisors to firm with U-4 filings, ADV Part 1 and Part 2 updates, client investment advisory agreement preparation, compliance training

• Oversaw the firm’s compliance practices in the investment management of the institutional, retail, wealth advisory and wrap lines of business• Supervised the firm’s marketing, operations, portfolio management, and trading departments• Prepared and filed firm’s federal regulatory reports including: Annual and Other-Than-Annual ADV Part 1 and Part 2; registered persons’ U-4s, U-5s, ADV Part 2Bs; Forms 13F, 13D/G, and 13H;• Reviewed and maintained firm’s proprietary Compliance Manual• Conducted firm-wide annual compliance program; reviewed and prepared annual compliance report to management• Served as key point person and firm spokesperson during SEC examinations• Prepared GIPS Compliant Presentations and Advertising• Responsible for Code of Ethics quarterly/annual reporting and ongoing monitoring of supervised persons• Organized and conducted quarterly firm-wide employee training• Reviewed and approved marketing, advertising and performance advertising materials• Oversaw vetting, hiring and contracting of third-party service providers, consultants and vendors• Responsible for maintenance and compliant destruction of regulatory and firm documents• Utilized various programs including Advent, WebCRD/IARD, EDGAR, Excel, APL, TD Ameritrade VEO, Financial Tracking/ComplySci, Broadridge ProxyEdge• Member of Best Execution Committee• Expert Panelist at the 2019 Annual IA Compliance: The Full 360° View East Conference in Washington, DC; and the 2016 Professional Compliance Assistance Compliance Matters Conference in Atlanta, GA• Processed firm’s payroll and facilitated employee benefits plan including 401k and health insurance• Resolved client complaints as needed

Responsibilities in addition to those above:• Managed firm’s accounts payable and accounts receivables using Peachtree accounting software from 2001 until 2015• Processed quarterly client account management fee billing using APL from 2001 until 2007

Responsibilities in addition to those above:• Supervised firm as advisor to mutual funds in cooperation with Gemini Fund Services and Northern Lights Distributors• Reviewed mutual fund advertising and marketing prior to submission to FINRA• Responsible for firm’s compliance with Rule 15C of Investment Company Act of 1940• Accountable for ensuring firm’s investments and trades complied with Rule 12(d)(1)(A) of Investment Company Act of 1940• Prepared monthly and quarterly CCO certifications to Northern Lights Distributors• Presented quarterly CCO compliance reports to Hays Series Trust Board of Directors

National firm specializing in providing direct-access electronic securities trading and stock brokerage services to institutions and retail customers• Supervised all investment securities sales, margin lending, and marketing activity, servicing clients throughout three state area• Met regularly with clients to evaluate investment objectives and the success of their investment strategies• Provided conflict resolution surrounding compliance and legal issues• Maintained multiple securities licenses: Series 7, 24, 4, 63 and 55• Opened and approved all new client accounts

A regional electronic media conglomerate in Western Kentucky comprised of FM and AM radio stations• Earned a Top Salesman Award for three consecutive years; a result of weekly service to over 60 national and regional accounts• Served as lead organizer of radio station’s regional 4th of July Concerts, community Easter Egg Hunts, and annual West Kentucky Home, Lawn and Garden Show• Entertained listeners as an On-Air Personality for FM morning drive-time show (member of 3 person team)• Hired, trained and supervised AM radio station sales representatives