Expert Details

Expert in Securities Transfer, Restricted Stock Removal, Stock Offerings

Expert ID: 735936 Utah, USA

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Executive in Charge of Services, Compliance, Operations
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.

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
● P & L Management
● 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


Year Degree Subject Institution
Year: 1996 Degree: BS Subject: Institution: University of Utah

Work History

Years Employer Title Department Responsibilities
Years: 2019 to Present Employer: Undisclosed Title: Managing Member Department: Responsibilities: Spearheaded business model and uti9lization through informed decision making based on business analytics with focus on balancing existing resources, and new capital planning. Utilized business analytics to visualize current and potential client base.
• Evaluated market data in order to limit initial client base for focused market share.
• Actively managed potential client base through interpersonal relationships.
• Applied change management to maintenance, logistics, backup, and waiting processes to reduce non-operating time.
Years: 2017 to 2018 Employer: Pacific Services Group Title: C.E.O. Department: Responsibilities: 18 month contract
As 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.
Years: 1991 to 2017 Employer: Fidelity Transfer Company Title: President/ Director Department: 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.
● Increased revenues to highest levels in corporate history.
Years: 1992 to 2000 Employer: Fidelity Transfer Company Title: Vice President Department: 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.

Career Accomplishments

Associations / Societies
Former Small Agent Committee Member of The Securities Transfer Association
Former Member of The Securities Transfer Association

Awards / Recognition
Winner of the Talon Award Small Agent
Publications and Patents Summary
Publications, Comments and Related Letters: 8 (As of 2020)

Fields of Expertise

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