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EDUCATION/CERTIFICATES
- Licensed in
New Hampshire as a certified public accountant since 1990.
- Financial and
Operational Principal (NASD Series 27)
- B.S.-Business
Administration, 1985, University of New Hampshire - Whittemore School
of Business
EXPERIENCE
SELF-EMPLOYED
Stratham, New Hampshire
Consultant, January 1996 to present
- Act as Financial
and Operational Principal (FINOP) for broker-dealers with varied operations;
including self-clearing, market making, general securities, municipals,
underwriting, mutual funds, mergers & acquisitions and bank-affiliated
broker-dealer.
- Accounting
and tax services for small businesses and individuals.
GOMEZ, INC.
Waltham, Massachusetts
Director of Finance and Administration/Controller, May 1999 to
March 2001
- Oversee all
accounting and treasury functions for US-based e-commerce portal with
overseas subsidiaries engaged in the research, evaluation and ranking
of e-commerce sites.
- Prepare and
present financial projections to investment bankers and investors,
coordinate department planning, budgeting, and assist in preparation
of private placement memorandum and S-1 registration for IPO.
- Supervise
2 accounting personnel, human resource manager and facilities manager.
PATH LAB, INC.
Portsmouth, New Hampshire
Assistant Controller, November 1995 to May 1999
- Perform daily
accounting functions including managing cash flow, performing business
analysis, maintaining general ledger and preparing management reports.
- Supervise
staff of seven individuals responsible for cash receipts and cash
application.
- Preparation
of financial statements.
CREELMAN &
SMITH, P.C.
Boston, Massachusetts
Audit Supervisor, January 1992 to November 1995
- Plan and conduct
financial, operational and compliance audits for broker/dealers, manufacturers,
not-for-profit organizations and other service companies.
- Supervise
team of three individuals in completing numerous engagements on budget.
- Perform compilations
and prepare tax returns for corporate and individual clients.
- Consult broker/dealers
in compliance and regulatory matters.
NATIONAL ASSOCIATION
OF SECURITIES DEALERS, INC.
Boston, Massachusetts
Compliance Examiner, November 1987 to December 1991
- Monitor and
analyze financial and operational condition of broker/dealers.
- Perform examinations
of complex member firms to determine financial condition, adequacy
of controls and compliance with federal regulations.
- Present examination
results to senior management.
FEDERAL DEPOSIT
INSURANCE CORPORATION
Concord, New Hampshire
Senior Assistant Examiner, August 1985 to October 1987
- Supervise
new personnel in performing securities and liquidity analysis (interest
rate risk exposure and cash flow), loan review, balance sheet and
general ledger reconciliations.
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