Evanello Enterprises, LLC

• Provide Practice Management Systems to Financial Advisors. These include FlashPoint Productions, an internet based marketing system; CLP Point, a customizable CRM system; Client Feedback surveys by Advisor Impact; continuing education courses by Quest CE Solutions, baby boomer generation seminars by AgeWave, and Compliance Services through Compliance Quest.

• Conduct presentations to Financial Advisors, Foundations, Family Offices, Trusts and large groups on topics including Indexing Strategies, Managed Futures, Commodity Pools, and Fee Based Life Insurance and Annuities.

• Forming Registered Investment Advisory Firm currently licensed in Arizona and California to distribute fee based annuity and life insurance through a Master Agreements

• Consult with Financial Advisors on how to move from a commission based revenue structure to a fee based revenue platform.

• Serve as FINRA Arbitrator.

Source Capital Group – Sr. Vice President

Assist companies with raising capital from early stage financing to mid venture financing in the biomedical, insurance, green energy, and sports marketing fields. Current fund raising projects include the Universal Carbon Fund, Pacific Biometrics (PBME), Altin Managed Futures Fund, and Fiberight. Typical deal size between $1 and $20 million.

Professional Experience/Accomplishments

THE VANGUARD GROUP, Scottsdale, AZ
Sales Executive May 2003 to March 2009

Market Vanguard products to Independent and Regional Broker Dealer Financial Advisors in the western United States. Responsibilities and accomplishments include:
• First Vanguard wholesaler to market Vanguard products and services specifically to the Independent Broker/Dealer market. Territory and Financial Advisor sales management of 13 states and 18,000 advisors in the Southwest.
• Sales and in-depth knowledge of Vanguard’s 33 Exchange Traded Fund and 120 Mutual Fund offerings.
• Integral part of sales team that increased Vanguard ETF assets by $40 billion in two years.
• Marketing of Vanguard’s Financial Advisor value added services including: agency building, seminars, continuing education, practice management enhancements, advisor client feedback programs, fee base business transition; and Vanguard’s Financial Advisor website.
• Presenting to individual advisors, their teams, and large groups at field offices and industry conferences.
• Worked with thousands of Wirehouse and Independent Broker/Dealer Financial Advisors in implementing Exchange Traded Funds (ETF’s) and Mutual Funds into their fee based and brokerage business.
• Extensive use of the Siebel Client Relationship Management System.

Corporate Compliance Officer November 1998 to May 2003

Assured Vanguard’s Arizona Operation of 1100 employees and 800 registered representatives were in compliance with NASD and SEC regulations. Responsibilities included:
• Preparing the Office of Supervisory Jurisdiction (OSJ) for NASD and SEC audits.
• Training, coordinating, and presenting Vanguard’s firm element continuing education program, including the firm’s Annual Compliance Review, for its entire registered representative population (over 3500).

JOSEPH CHARLES & ASSOCIATES, Phoenix, AZ
Branch Manager/Compliance Officer January 1998 to November 1998

Supervised the sales activities of 20 Joseph Charles registered representatives. Responsibilities included:
• Conducting broker hiring, training and sales practice management.
• Responding to regulatory inquiries, including NASD arbitrations and customer grievances.

LAUGHLIN GROUP OF COMPANIES, LAUGHLIN INSURANCE SERVICES, Beaverton, OR
Vice-President, Compliance Manager July 1996 to October 1997

Compliance Principal for marketing firm assisting banks entering the insurance business. Responsibilities included:
• Making formal presentations to banks seeking Laughlin’s compliance and marketing services.
• Staffing bank branches with qualified Financial Advisors.

PRUDENTIAL INSURANCE CO. OF AMERICA, Phoenix, AZ and Plymouth, MN
Compliance Consultant/Analyst August 1993 to July 1996

Prudential Insurance Sales Representative/ Compliance Specialist March 1987 to August 1993

Rutgers College, Rutgers University, New Brunswick, New Jersey
Degree: B.A. in Economics, concentration in Finance, May 1986
Finance GPA: 3.83 on a 4 point scale

Obtained Chartered Life Underwriter (CLU) and Chartered Financial Consultant (ChFC) designation.

Currently possess FINRA Series 4, 6, 7, 24, 26 and 63 as well as an Arizona Life Insurance license. Also serve as a FINRA Arbitrator and as an Expert Witness for FINRA Arbitrations.

Featured speaker at IBC Life and Annuity Market Conduct conference and Arizona Association of Financial Planners meetings.

Board of Directors, Friends of the Scottsdale Library. Steward McDowell Sonoran Conservancy

Active participant in the Arizona 3 Day Breast Cancer walk in honor of my wife Julia, a breast cancer survivor.

Manager, Arrowhead Little League 11/12 Arizona District 2 Little League Champions.

FINRA Arbitrator for eight years. Expert witness for financial services industry arbitrations and mediations. Consulted for ten years.