- Licensed in New Hampshire as a certified public accountant since 1990.
- Financial and Operational Principal (FINRA Series 27)
- B.S.-Business Administration, 1985, University of New Hampshire – Whittemore School of Business
FINOP Services, LLC
Stratham, New Hampshire
Managing Member, 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.
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.
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.
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.