Experience

WR Hambrecht + Co

• Investment Banking
• 1 - 100 Employee

• CFO

  • May 2014 - Present

  San Francisco Bay Area Chief Financial Officer, Investment Bank.



Self employed independent finance contractor

• Independent Contractor - Mutual Fund Finance and Admin

  • Mar 2010 - Jul 2011

  San Francisco, CA



Wells Fargo Securities LLC

• United States
• Investment Banking

• CFO

  • Mar 2005 - Oct 2009

  FINANCE • Responsible for the functions of FINRA Finance and Operations Principal for a $100MM revenue investment bank. • Worked with business leaders to expand and drive the business forward, growing revenue 25% annually. NIBT grew from $2MM in 2004 to $18MM in 2008. • Development and implementation of business metrics and forward-looking indicators. • Responsible for financial reporting and accounting, application of GAAP standards. • Managed external, regulatory and… Show more FINANCE • Responsible for the functions of FINRA Finance and Operations Principal for a $100MM revenue investment bank. • Worked with business leaders to expand and drive the business forward, growing revenue 25% annually. NIBT grew from $2MM in 2004 to $18MM in 2008. • Development and implementation of business metrics and forward-looking indicators. • Responsible for financial reporting and accounting, application of GAAP standards. • Managed external, regulatory and internal audits, resulting in unqualified opinions and all internal controls acceptable or better. • Financial systems management and implementation. • Treasury and net capital management. • Lead business integration projects for acquired companies. INFORMATION TECHNOLOGY • Information Systems management, IT project management and implementation. • Establish and maintain information security standards and procedures in compliance with federal information security and risk management policies, standards and guidelines. • Manage the information security function in accordance with the established policies and guidelines. Show less



Charles Schwab

• United States
• Financial Services
• 700 & Above Employee

• VP Controller Fixed Income Finance

  • Apr 2000 - Oct 2004

  • Responsible for the overall finance function of a $100MM revenue fixed income business, encompassing trading, sales, service, operations and marketing. 25% revenue CAGR from 2000 through 2004. • Responsible for asset valuation reporting, including value at risk. • Wrote and implemented accounting policies and procedures in accordance with applicable FASB Statements. • Managed annual financial planning, forecast, and estimate exercises. • Implemented daily trading, sales… Show more • Responsible for the overall finance function of a $100MM revenue fixed income business, encompassing trading, sales, service, operations and marketing. 25% revenue CAGR from 2000 through 2004. • Responsible for asset valuation reporting, including value at risk. • Wrote and implemented accounting policies and procedures in accordance with applicable FASB Statements. • Managed annual financial planning, forecast, and estimate exercises. • Implemented daily trading, sales and service profit and loss, providing Senior and Executive management with an accurate view of daily and month to date figures. • Shortened the month end closing process from three days to one day.

• Director Regulatory Reporting

  • Jan 1997 - Apr 2000

  • Overall responsibility for broker-dealer balance sheet accounting, interpretation and compliance with S.E.C. Net Capital and Customer Protection Rules including FOCUS filing, weekly customer reserve computation. Customer reserve averaged $15Billion. • Managed NYSE, SEC regulatory, and annual external audits, resulting in unqualified opinions and all internal controls acceptable or better. • Created daily balance sheet. • Managed the departments’ year 2000 systems improvement… Show more • Overall responsibility for broker-dealer balance sheet accounting, interpretation and compliance with S.E.C. Net Capital and Customer Protection Rules including FOCUS filing, weekly customer reserve computation. Customer reserve averaged $15Billion. • Managed NYSE, SEC regulatory, and annual external audits, resulting in unqualified opinions and all internal controls acceptable or better. • Created daily balance sheet. • Managed the departments’ year 2000 systems improvement, and development of contingency plans. • Researched and developed framework for 15c3-3 Stock Record Allocation System. • Coordinated 15c3-1 and 15c3-3 training sessions for various operations and finance areas. • Finance Division lead for re-engineering back office systems. • Partnered with the International Division in the development and implementation of operations and accounting plan for foreign subsidiaries including the United Kingdom and Canada. • Provided regulatory accounting and rule guidance for OTC options. • Developed and implemented accounting plan with Capital Markets and Trading for proprietary fixed income dealing. • Researched and implemented accounting procedure for IPO underwriting business.