Expert Details
Securities Transfer, Restricted Stock Removal, Stock Offerings, Compliance
ID: 735936
Utah, USA
As a dynamic leader with more than 15 years in executive roles, Expert excels in people management, operations, and compliance. He has a proven track record of engaging teams to meet rigorous milestones and deliver high-stakes projects. Throughout his career, he has been promoted to increasingly senior positions within one of the industry's most established financial service firms, reflecting his exceptional capabilities in strategic planning, regulatory adherence, and process improvement. He is also a skilled mediator and conflict resolution specialist, adept at navigating challenges to achieve organizational success.
Expert's accomplishments include driving product development, implementing best practices, and spearheading initiatives that optimize productivity and revenue growth. He has successfully led diverse international teams, ensuring alignment with industrial, quality, and regulatory standards. With deep technical knowledge in financial administration, strategic consulting, and global compliance, he is a sought-after advisor and consultant across multiple industries, delivering innovative solutions and sustainable business practices.
Education
| Year | Degree | Subject | Institution |
|---|---|---|---|
| Year: 2024 | Degree: MBA | Subject: Business Administration | Institution: University of Utah |
| Year: 2021 | Degree: Silver Certification | Subject: Business, Negotiation and Sales Training | Institution: Sandler Sales Training |
Work History
| Years | Employer | Title | Department |
|---|---|---|---|
| Years: 2019 to Present | Employer: Undisclosed | Title: Managing Member | Department: |
Responsibilities:Act as trusted adviser and resident expert on compliance, customer service, employee relations and best practices. Primary oversight for internal and regulatory compliance, increasing efficiency 57%.Advisor to assist executives and board members in strategic direction including regulatory compliance, long-range planning, global employee and customer relations. Having an emphasis in customer service, compliance and serving as liaison with regulatory agencies. |
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| Years | Employer | Title | Department |
| Years: 2017 to 2018 | Employer: Pacific Services Group | Title: CEO | Department: |
Responsibilities:• Directed operations across three locations (Las Vegas, Toronto, and Sperryville) including contract negotiation, client retention, and business development.• Oversaw acquisitions, service delivery, regulatory compliance, and supply chain management. • Implemented and maintained PSG policies, Standard Operating Procedures (SOPs), and business continuity plans. • Managed over 700,000 shareholder accounts and 2,800 public/private client issuers. • Collaborated with legal counsel on regulatory compliance, SEC/FINRA audits, and litigation matters. • Provided strategic leadership in technology life cycles, market share improvement, and employee satisfaction. Key Achievements: • Achieved a 30% increase in clients served through acquisitions, sales optimization, and reputation enhancement. • Successfully negotiated a major contract dispute, retaining 8% of total company revenue. • Revamped operating procedures to enhance efficiency, compliance, and profitability. • Developed and tested SOC 1 and SOC 2 frameworks in collaboration with auditors. • Increased market share by 30% and positioned the company for sustainable growth. |
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| Years | Employer | Title | Department |
| Years: 1991 to 2017 | Employer: Fidelity Transfer Company | Title: President/Director | Department: |
Responsibilities:• Directed the stock issuance service delivery process, managing HR, marketing, regulatory compliance, client retention, and relations.• Built and maintained relationships with domestic and international C-suite executives. • Developed and improved service policies, client relationships, and business development strategies. • Ensured effective service delivery during economic downturns by managing project timelines and team leadership. • Oversaw internal compliance, employee training, recruiting, and compensation plans. Key Achievements: • Managed 200,000+ shareholders and provided oversight for 300+ companies. • Served as SEC liaison, overseeing audits, requests, and regulatory compliance assessments. • Reviewed and interpreted FINRA rulings to support client operations. • Implemented competitive pricing strategies, increasing revenue while maintaining market competitiveness. • Developed and streamlined regulatory procedures and compliance processes. |
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International Experience
| Years | Country / Region | Summary |
|---|---|---|
| Years: to Present | Country / Region: | Summary: |
Career Accomplishments
| Associations / Societies |
|---|
| Former Member of The Securities Transfer Association |
| Licenses / Certifications |
|---|
| Silver Certification, Sandler Sales Training |
| Professional Appointments |
|---|
| Former Small Agent Committee Member of The Securities Transfer Association |
| Awards / Recognition |
|---|
| Winner of the Talon Award Small Agent |
| Publications and Patents Summary |
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| Publications, Comments and Related Letters: 8 (As of 2020) |