PROFILE Seasoned CFO/COO with early stage experience in Investment Management, Broker Dealers, Fulfillment, B to C Services (e-commerce, call centers and marketing) and start-up telecom & technology companies. Successfully raised capital within the investment management, telecommunications, technology and financial services industries. SEC & FINRA CCO experience with several audits overseen. Broad experience in management, finance, compliance, investments, corporate finance, raising capital, and operations. Strong interest in economic impact opportunities and emerging markets. Available to relocate. ACCOMPLISHMENTS * Successfully positioned led capital raises for companies in Telecommunications, Technology, E-Commerce Fulfillment and Financial Services * Drove the reorganization of a mutual fund complex into a standalone trust, acquired one broker/dealer and have set up two from inception and established a Unit Investment Trust business * Sourced $300 million equity financing for a start-up reinsurance company (Ability Re) * Co-founded and established the operating, compliance and distribution infrastructure for an Africa-focused mutual fund company * Structured, negotiated and closed over 27 investment transactions representing more than $640 million of committed capital including debt, private equity, venture capital and Angel funding * Led turnaround of a business services company from $9 million to $43 million in revenue in three years as COO/CFO * Drove margin improvement, raised equity capital and sourced a complementary acquisition * Key advisor in capital raises for a start-up wireless telecommunications company (NASDAQ: ARTT) from seed stage to IPO KYC office inspections contract review/negotiation and vendor management Experienced with '40 Act, FINRA FOCUS filings, FINRA/SEC audits, 38a-1 and 15c reviews, and SEC filings * Developed and implemented compliance, AML and marketing collateral policies for RIAs, RICs and B/Ds * FINRA Series 7, 24, 28, 63, 66, 79, 87 & 99 Experienced with marketing collateral reviews, social media programs, AML & Know Your Customer requirements

Highlights:

• A SERIES
• Banking Industry
• CFO
• Compliance
• Due Diligence
• Financial Industry
• Focus
• Forecast
• Investment Banking
• Management
• finance
• excel
• budgeting
• management
• FINRA
• FINOP
• capital raising
• M&A
• accounting
• investment management
• SEC
• Operations
• Business Development