A results-driven accounting and financial services professional having hands on experience in self clearing broker dealers and corporate finance. Over 18 years of experience with extensive knowledge of the financial services sector including retail and institutional brokerage operations, audit, IT and regulatory compliance. Previous registrations include FINRA Series 7, 27, 53, & 63. Continually recognized by managers, clients, and colleagues for the ability to orchestrate the details of critical projects and relationships with a high degree...
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Nov 15, 2012|Management Consulting|Private|Completed
Nov 14, 2012|Management Consulting|Private|Completed
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Oct 25, 2012|Financial Planning|Private|Completed
- Corporate/Operational Finance
- Contracts and Procurement
- Mergers and Acquisitions
- Investor Relations
- Internal Audits
- Risk Management
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2010 - Present
Responsibilities included building the asset valuation model, performing economic trend analysis, preparing financial assumptions and operating budgets related to investment properties.
United Gold Direct, LLC
Managing Director & CFO
2009 - 2010
Developed concept and business plan. Responsible for filing all state and federal documents related to start up. Involved in all phases of developing the company. Developed and managed all aspects...
UnionBanc Investment Services LLC
Vice President - Finance Manager
2004 - 2008
Responsible for the firmís accounting, financial reporting and controls, capital investments, all FINRA and SEC regulatory reporting, budgeting and quarterly rolling forecasts, and payroll...
Vice President - Capital Markets Internal Audit
2003 - 2004
Managed audit teams to evaluate the adequacy and application of internal controls. Ensure efficient operations and compliance with established policies, procedures, and regulations. Developed...
Quincy Cass Associates
Chief Financial Officer
1999 - 2003
Responsible for all accounting, balance sheet, income statement, and payroll preparation. Restructured accounting department to achieve better efficiency, record retention and communication. These...
PB Investment Solutions
1995 - 1999
Provided comprehensive financial advice and services that help individuals, their families, and small business clients of Peopleís Bank of California define, address, and achieve their financial...
Mortgage Servicing Analyst
1993 - 1995
Created analytical models and processes for the valuation of mortgage servicing rights pools for banks and thrift institutions. Worked with all phases of underwriting with an emphasis on portfolio...
University of Phoenix
Masters of Accountancy
2011 - 2012
Bachelor of Science