TRUSTED FINANCIAL, BUSINESS & LEGAL ADVISOR
Energetic executive with over 20 years combined experience in sales, business & corporate development, legal, and financial management in high growth companies. Decisive, inspiring leader recognized for consensus-building and creative problem-solving. Demonstrated outstanding long-term relationship building and consultative selling skills with clients, employees, board members, investors, and other stakeholders. Extensive start-up and large enterprise experience transitioning teams to higher performance levels.
BACKGROUND SUMMARY
•Successful & impassioned entrepreneur, lawyer, & trusted advisor
•High strengths in identifying & closing high value, strategic transactions
•Expert, published author & academician in subjects of business & legal functions, ethics/compliance, industry best practices & trends
•Expertise in financial goal analysis, investment analysis & strategies, holistic wealth management
•Developed consistent repeatable process of profiling clients, identifying needs, & delivering outstanding products & services
•National & international experience; MBA & JD degrees; Series 7, 66; Life, Health & VA
PROFESSIONAL EXPERIENCE
FINANCIAL ADVISOR 2006-2007
UBS Financial Services Inc., Palm Beach, Florida
Registered investment advisor representative providing investment advisory, brokerage, and retirement planning services to high net worth individuals.
•Consult with clients to understand wealth management needs and objectives. Assist clients in creating investment policy statements. Formulate income, savings, investment, and insurance requirements and comprehensive financial plan to meet those requirements.
•Identify client investment objectives, analyze alternative investment strategies, implement and manage on-going investment programs to support achievement of clients’ long-term financial objectives.
•Guide collaborative team of trusted advisors in strategic planning process to meet client objectives.
•Brief executive clients on wealth management and institutional research covering their respective market sectors.
•Empower corporations to manage fiduciary and other risks through implementation of retirement and investment education, and restricted stock programs.
PRINCIPAL
Law Firm, Boxborough, Massachusetts 1994-2006
Corporate, executive compensation & employment law counseling and litigation services to public and venture-backed companies and their principals. Provide probate & estate services to corporate executives.
•General counsel and corporate secretary for venture-backed software company and general counsel to other high growth companies. Advise senior management on corporate governance, compliance, code of conduct, and ethics issues. Developed privacy, telemarketing (TSR, TCPA, DNCR), e-mail (CANSPAM), security, ethics, compliance (including legal, revenue recognition, export, FCPA, Sarbox, GLB, HIPAA), and human resource policies (ADA, FMLA, FLSA).
•Draft and negotiate executive employment agreements. Advise corporations and executives on ESOP, restricted stock, deferred compensation, split dollar and key person life insurance, other employee benefits, 409A, and wealth transfer issues.
•Negotiated development, OEM, distribution, cross licensing, end user, and consulting agreements which provide strategic multi million dollar revenue opportunities for clients (including publicly held companies) with their customers and channel partners in the financial services industry, including JPMorganChase, Morgan Stanley, Bank of America, Wells Fargo, Norwest, CitiBank, UBS, & Prudential.
•Review trust documents and accountings, meet with trust companies to review trust administration and investment performance, and manage beneficiary relationships. Serve as public administrator, trustee, and attorney for estates; prepare and file accountings with probate court and estate tax returns with federal and state agencies. Collaborate with clients’ CPA’s in formulating and executing tax minimization strategies.
ADJUNCT PROFESSOR OF BUSINESS
Atlantic Union College, Lancaster, Massachusetts 2005-2006
•Teach business ethics and law
DIRECTOR, ADMINISTRATION, FINANCE, & LAW 1993-1994
R&O, LLC, Walnut Creek, California
Leading U.S. start-up distributor of repository software developed by German parent company.
•Served as outside general counsel. Responsible for evaluation, selection, and management of employee benefits programs, employment agreements, stock option plans, real estate leases, and commercial financing agreements.
•Legal advisor to multiple corporate entities including holding companies and subsidiaries of German parent company and primary point of contact for outside law and public accounting firms
•Subsequently appointed to this internal position reporting to the president and CEO. Developed corporate, legal, and compliance programs, including IP, HR, and privacy. Company was sold to Viasoft for $35 million.
PRINCIPAL
Law Firm, Westford, Massachusetts 1990-1993
•Sole practice focused on counseling entrepreneurs in business formation and high tech executives in negotiating employment and severance agreements.
•Provide ancillary probate and estate services including trust accounting and review of administration, preparation and filing of estate tax returns, probate and estate litigation.
•"Of counsel" responsibilities to other law firms included providing appellate court support by writing and filing briefs with the Massachusetts Appeals Court and Supreme Judicial Court (SJC) and oral argument before the SJC. Served as trial counsel in numerous federal and state district, probate, and superior court proceedings.
EDUCATION
Juris Doctor Cum Laude NEW ENGLAND SCHOOL OF LAW, Boston, MA
Master of Business Administration International Marketing PACE UNIVERSITY, Lubin School of Business, NY, NY; Pleasantville, NY
Bachelor of Science Marketing and International Business, NEW YORK UNIVERSITY, Stern School of Business, NY, NY
BAR ADMISSIONS
Supreme Judicial Court of Massachusetts; Supreme Court of California; United States District Court: District of Massachusetts, Northern District of California;
First and Ninth Circuit Courts of Appeals; United States Tax Court
BAR MEMBERSHIP
Massachusetts Bar Association
Business Law Section (Chair; Vice chair - 1998)
Small Business Committee (Chair 1997-1998)
State Bar of California
Editorial Board, Business Law News 2003-2007
Co-Managing Editor, 2006-2007
PRO BONO PUBLICO
Trustee (2002- 2006), Incorporator (1998-2001), New England Network for Child, Youth, & Family Services (www.nenetwork.org) |
