Agent

• Mar 2018 - Present

Co Owner

• Jan 2016 - Present

Service provides residential cleanouts to prepare homes for sale, foreclosure, to settle estates. Work with network of appraiser and estate sales groups for realtors, attorneys and other fiduciaries. Supply charity organizations with goods and funds from cleanouts and provide owners with deduction receipts. Service provides residential cleanouts to prepare homes for sale, foreclosure, to settle estates. Work with network of appraiser and estate sales groups for realtors, attorneys and other fiduciaries. Supply charity organizations with goods and funds from cleanouts and provide owners with deduction receipts.

Consultant

• Jan 2013 - Present

Consulting: Compliance - Financial Services - AML, Advertising/Social Media, KYC, FinOps, Research Life Sciences - Presentation materials, Business Deveopment, Investor Relations, Fundraising (private and public), Cross-border (Canada/China) Consulting: Compliance - Financial Services - AML, Advertising/Social Media, KYC, FinOps, Research Life Sciences - Presentation materials, Business Deveopment, Investor Relations, Fundraising (private and public), Cross-border (Canada/China)

Realtor Associate

• Jun 2015 - Jan 2016

Realtor - Condos, Townhomes, Lake Communities, Short Sales, Resort Communities

• Aug 2011 - May 2015

Real Estate Sales/Leasing: specializing in townhouses and condos and short sales. Real Estate Sales/Leasing: specializing in townhouses and condos and short sales.

Compliance Consultant

• Jan 2013 - Jul 2013

Assisted Financial Advisors in branding through social media within firm's parameters. Edited articles, releases, websites and profiles to align with Finra/SEC advertising rules. With senior compliance manager, reorganized compliance department operations, delegating non-compliance functions. Assisted Financial Advisors in branding through social media within firm's parameters. Edited articles, releases, websites and profiles to align with Finra/SEC advertising rules. With senior compliance manager, reorganized compliance department operations, delegating non-compliance functions.

Managing Director

• Jan 2010 - Jan 2013

Director of Life Sciences Group, a new business for Tripoint. Tripoint Global's business was primarily in China. Firm has brought several Chinese companies public in the US. Our team advises on acquisitions and licensing in addition to financing both public and private companies in this sector. The group is involved in cross-border transactions with China and Canada. Director of Life Sciences Group, a new business for Tripoint. Tripoint Global's business was primarily in China. Firm has brought several Chinese companies public in the US. Our team advises on acquisitions and licensing in addition to financing both public and private companies in this sector. The group is involved in cross-border transactions with China and Canada.

Chief Compliance Officer, Financial & Operations Principal

• May 2008 - Nov 2009

Created new Broker Dealer to complement Forex company. Wrote entire BD application and led the subsequent Finra interview/approval process. Developed WSP, BCP and AML procedures. Authored website content with in-house webmaster for approval by Finra Advertising Dept. Coordinated internal applications with clearing firm's software. Trained all newly licensed personnel and recruited former colleagues. Created new Broker Dealer to complement Forex company. Wrote entire BD application and led the subsequent Finra interview/approval process. Developed WSP, BCP and AML procedures. Authored website content with in-house webmaster for approval by Finra Advertising Dept. Coordinated internal applications with clearing firm's software. Trained all newly licensed personnel and recruited former colleagues.

VP-institutional sales, Principal - fixed income

• Feb 1997 - Aug 2006

Head institutional salesperson for Life Science and Technology analysts. Responsible for block trades, secondary offering placements, registered/Rule 144 stock. Coordinated road shows for client companies and disseminated new coverage research and updates. Fixed income principal for munis and corporates. Head institutional salesperson for Life Science and Technology analysts. Responsible for block trades, secondary offering placements, registered/Rule 144 stock. Coordinated road shows for client companies and disseminated new coverage research and updates. Fixed income principal for munis and corporates.