chief operating officer

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chief operating officer
Location Confidential
No preference
Willing to Relocate
$150,000 to $300,000

Resume Summary
A financial services industry executive and CPA whose career spans 30 years developing and distributing alternative investment products, building and managing dynamic sales organizations, developing distribution systems and most recently, leading an industry trade organization.


To capitalize on a 22-year relationship with the independent broker dealer community and a career that includes structuring successful distribution systems, to make a measurable contribution to a firm focused on bringing its products to market.


Negotiated selling agreements with 40 independent broker dealer firms, 5 national firms, 4 clearing firms, and 15 bank trust departments over a 10-year period.
Managed the business of an investment industry trade association for its 75 corporate member firms. Coordinated the activities of thirteen committees comprised of volunteers. Activities resulted in strong relationships and effective membership.
Developed and sold direct participation programs for three national syndicates throughout a consistent career, lucrative for all concerned.
Supervised the sales practices of 2,000 registered reps whose product sales produced over $400 million gross dealer concession in one year.
Member, Board of Directors of Listed Company for the past 14 years.

Trade Industry Association
Executive Director 2007 to Feb 2009
Managed the business of this investment industry trade association.
Coordinated and managed the activities of the members, which include investment sponsors, independent broker dealers, attorneys, banks, and other firms involved in the industry.
In 2008, members raised $10 billion of retail capital in the alternative investment areas of real estate, energy, and equipment finance.

Major Financial Services firm.
Senior Vice President 2002 to 2007
Led the firm's internal and external communications for the 2nd largest independent broker dealer network, (8,000 independent advisors).
Directed the sales practices of 2,000 registered reps whose sales produced in excess of $400 million in 2006.

Private Company
President and CEO 1990 to 2002
Founded this securities brokerage firm that successfully participated in the secondary market for limited partnership investments.
Directed marketing, sales, compliance, and operations.
Negotiated selling agreements with 40 independent broker dealer firms, 5 national firms, 4 clearing firms, and 15 bank trust departments. Gross commission revenues for the 5 years ending in 2002 totaled $3.6 million.
Firm ranked 2nd in transaction volume of the twenty companies providing similar services.

Major Financial Services Company.
Vice President 1987 to 1990
Product and sales specialist to a sales force of 7,000 registered for selected limited partnership investments.

Private Equity Financial Corp
Vice President Equity Marketing 1984 to 1987
Led the selling group, including the National Sales Manager. Equity raised averaged $50 million through a selling syndicate of 75 independent and regional firms.

Diversified Financial Services Company
AVP Direct Investments 1981 to 1984

Major Pharmaceutical Company
Director of Entity Planning 1971 to 1981

Major Public Acccounting Firm
Staff Accountant 1968 to 1971

US Army
Captain, Armor 1964 to 1968
Army Commendation Medal

Education: UCLA John E. Anderson Graduate School of Management Los Angeles, CA
Director Training and Certification Program May 2007

Major New England University
Bachelor of Science, Business Administration 1963

License and Certification:

FINRA: series 7,22,24,27,39,63
Certified Public Accountant
Certified Director

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