Expert Details
Securities Transfer, Restricted Stock Removal, Stock Offerings, Compliance
ID: 735936
Utah, USA
Entrepreneurial executive with 15+ years in leadership, building, conflict resolution and helping to bring companies public.
Expert has been in the stock transfer and registrar business for over 25 years and is a subject matter expert in restricted stock, restricted stock removal, regulatory compliance, issuance of shares, ipo's, secondary offerings and review of legal opinions and other items necessary to issue, transfer or stop securities and stock certificates. Further, this expert has extensive experience with securities regulation and trading exemptions including 144 of the '33 act, 4(a)1 etc.
Dynamic People, Operations and Compliance Manager with keen business acumen focused on actively engaging teams to develop rigorous milestones and timelines for delivery of projects. Recognized as senior subject matter expert in the field of Securities, IPO’s and Transfer processes. Proven expertise in conducting strategic planning, regulatory compliance, recommending best practices, and interpreting business challenges to improve products, processes, and services while meeting industrial, quality, and regulatory standards. Promoted to multiple positions with increasing responsibility throughout my career with one of the oldest financial service companies in the industry. Strong leader able to effectively and efficiently lead diverse international teams.
Highlights of Expertise
Financial Administration:
● Product Development
● Budget Control & Administration
● Securities Processes including Registration and Exemptions
● Team Leadership/Development
● Productivity, Revenue Growth
Program Management:
● Consulting
● Strategic Planning
● Regulatory Compliance
● Staffing & Scheduling
● Resource Procurement
● Master mediator
● Conflict resolution
Technical Knowledge:
● Regulatory Compliance
● Contract Development
● Negotiation
● Business and Pricing Structures
● Multiple Industry Consultant
● Global Compliance
Education
| Year | Degree | Subject | Institution |
|---|---|---|---|
| Year: 1996 | Degree: BS | Subject: Science & Anthropology | Institution: University of Utah |
| Year: 2021 | Degree: Silver Certification | Subject: Business, Negotiation and Sales Training | Institution: Sandler Sales Training |
Work History
| Years | Employer | Title | Department |
|---|---|---|---|
| Years: 2019 to Present | Employer: Undisclosed | Title: Managing Member | Department: Consulting |
Responsibilities:Acted as trusted adviser and resident expert on compliance, customer service, employee relations and best practices. Primary oversight for internal and regulatory compliance, increasing efficiency 57%.Act as trusted advisor to assist executives and board members in strategic direction including regulatory compliance, long-range planning, global employee and customer relations. Having an emphasis in customer service, compliance and serving as liaison with regulatory agencies. Key Achievements: ● Oversaw and filed required regulatory reports ● Reviewed, interpreted and implemented regulatory procedures ● Increased client employee’s understanding of compliance information 35% |
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| Years | Employer | Title | Department |
| Years: 2017 to 2018 | Employer: Pacific Services Group | Title: C.E.O. | Department: Global Headquarters |
Responsibilities:18 month contractAs President and Chief Executive Officer, directed all operations in Las Vegas, Nevada as well as our locations in Toronto, Canada and Sperryville Virginia, including contract negotiation, client retention, business development and team building. Managed acquisitions, service delivery, technology life cycle, supply chains, field operations, and regulatory compliance. Delivered technical and process expertise to marketing and sales departments to improve market share. Promoted visible quality, compliance, and cultural environment commitment and developed and implemented PSG policies and standards. Maintained effective and profitable operations against aggressive market competition by focusing on service quality delivery, customer service and regulatory compliance. Optimized profitability through strategic allocation of capital and positioned company for sustainable growth by balancing trade-off between short and long terms goals. ● Managed Internal Compliance, Developed Standard Operating Procedures ● Liaison between The United States Securities & Exchange Commission (SEC) ● Managed, oversaw and responded to multiple SEC audits and requests. ● Reviewed FINRA rulings in order to interpret how it related to our space as well as our clients. ● Served as thought partner and instigation specialist for our Client Services team and helped organize new employee divisions and structure for better profit and client satisfaction. ● Financially managed client growth via increased workforce productivity and new sales team SVP; achieved 30% increase in clients served through acquisitions, sales streamlining and organic growth through improved reputation and client satisfaction. ● Managed over 700,000 shareholder accounts and over 2800 public and private client issuers. ● Proactively took the lead in identifying department and team specific training needs in order to develop an environment for less employee turn around and better overall employee satisfaction. ● Served as primary liaison for collaboration with our Toronto and Las Vegas facilities in order to identify cross functional tasks and client relationships. ● High level interaction with corporate counsel in legal and regulatory matters, including litigation. Provided executive leadership for industry’s largest small and midcap company provider. Increased revenue base by 30%. Revamped operating procedures to increase employee efficiency, regulatory and internal compliance. Lead operations and strategic direction for bottom-line factors, including compliance, business continuity, global product management and software use and processes. Provided cross-functional management to two domestic and one international location. Key Achievements: ●Evaluated/implemented technical improvements for international company ● Developed tests and liaison with auditor for SOC 1 and SOC 2 ● Direct communications and liaison for Regulatory Agencies ● Drafted and oversaw all regulatory compliance examinations ● Revamped and improved processes including Standard Operating Procedures and Business Continuity plans ● Achieved a 30% increase in clients served through acquisitions, sales streamlining, and organic growth through improved reputation and client satisfaction ● Successfully negotiated contract dispute between largest client and funding operation retaining 8% of total company revenue ● Increased market share 30% |
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| Years | Employer | Title | Department |
| Years: 1991 to 2017 | Employer: Fidelity Transfer Company | Title: President/ Director | Department: Executive Offices |
Responsibilities:Oversaw Stock Issuance Service Delivery Process while managing objectives for human resources, marketing, regulatory compliance, client retention and relations. Developed relationships with highly skilled domestic and international “C” Suite personnel. Developed or enhanced and maintained departments including service policies and procedures, client relationships, revenue growth, and business development. Ensured service delivery during the economic downturn while managing project timelines and deliverables alongside strong team leadership.● Managed Internal Compliance, Developed Standard Operating Procedures ● Liaison between The United States Securities & Exchange Commission (SEC) ● Managed, oversaw and responded to multiple SEC audits and requests. ● Reviewed FINRA rulings in order to interpret how it related to our space as well as our clients. ● Managed 200,000+ individual shareholders while providing direct and indirect oversight of 300+ companies. ● Maintained and oversaw compensation plans, training needs and recruiting of employees. ● Effected change in pricing through analysis of competitors that increased revenues while staying competitive. ● Developed, reviewed, analyzed and assessed regulatory procedures and compliance |
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| Years | Employer | Title | Department |
| Years: 1992 to 2000 | Employer: Fidelity Transfer Company | Title: Vice President | Department: Operations |
Responsibilities:Managed Global Client and Shareholder Delivery Process while overseeing business growth and development. Orchestrated application of the quality management system and initiated changes for improvement.● Developed regulatory compliance procedures ● Implemented follow up operations to increase revenues through delinquent A/P accounts. ● Recognized as subject matter expert while leveraging Senior level technical expertise in T/A functions and operations. |
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Career Accomplishments
| Associations / Societies |
|---|
| Credentials: Former Small Agent Committee Member of The Securities Transfer Association Former Member of The Securities Transfer Association |
| Licenses / Certifications |
|---|
| Silver Certification, Sandler Sales Training, Salt Lake City, UT |
| Awards / Recognition |
|---|
| Winner of the Talon Award Small Agent |
| Publications and Patents Summary |
|---|
| Publications, Comments and Related Letters: 8 (As of 2020) |