** *********** *****

ALAMEDA, CA *****

510-***-****

acn2w9@r.postjobfree.com

James M. Ahlstedt, JD

Objective

Utilize my extensive business experience; and, expand my areas of interests in the field of law, by acquiring

practical experience in daily operations and long-term planning, in various areas of legal practice.

Career Summary

Developed and implemented systems to reduce fixed overhead through renewed lease negotiations and

complete vendor reviews with cost reductions. Instated new top to bottom office administrative procedures to

maximize accuracy and efficiency while minimizing staffing needs. Established daily, weekly, monthly and

yearly review logs to efficiently and effectively comply with all regulatory requirements. Implemented record

keeping organization to eliminate inefficiency and perfect accuracy. Increased productive sales force while

reducing the need for additional back office support. Derived new sources of revenue while reducing risk.

Documented and negotiated all disagreements or disputes with vendors and clients resulting in successful

settlements. Acquired new businesses, at a discount to the prevailing market, to compliment and augment

existing business lines of revenue. Overall, made profitable or increased profitability of ventures, while

reducing exposure to liability.

Experience

2010 –Present Business Consulting, Residential Construction and Management Alameda, CA

Advised various businesses on strategic development; and, managed

residential construction and lease management.

2005 -2009 Abraham Lincoln University, School of Law Los Angeles, CA

Attended law school and was awarded a Juris Doctor degree.

Developed and renovated residential properties.

2002 -2005 Business Consulting – Development and implementation of San Francisco, CA

proprietary equity trading systems and regulatory supervision

for various clients:

Dillion Scott Securities, Inc.

E*Trade Professional Trading, LLC

Assent, LLC

Legend Merchant Group, Inc.

Legend Merchant Trading, LLC

Andover Brokerage, LLC

Developed, supervised and managed equity trading platforms for proprietary trading

on the over-the-counter and listed markets, in both agent and principal capacities.

1998 -2001 Broadmark Capital Corporation San Francisco, CA/ New York, NY

Founding Partner-Shareholder

JAMES M. AHLSTEDT, JD

22 CHRISTENSEN CT.

ALAMEDA, CA 94502

510-***-****

acn2w9@r.postjobfree.com

Concurrent Positions Held:

Senior Vice-President, Branch Manager (San Francisco Office)

Senior Options Principal (National), Compliance Options Principal (National), Options

Principal (San Francisco Office), Registered Representative (Stock Broker)

Responsibilities:

Regulatory supervision of all option trading for the firm nationally and at the branch

level, including compliance supervision and reporting. Regulatory supervision of all

brokerage activities, inclusive of but not limited to equity and debt transactions, private

equity placements, all client communications and resolution of client inquires and

general overall business and records management.

National supervision of all office lease negotiations, construction design and build outs,

communication/data requirements and implementation.

Investment Banking, Hedge Fund Regulatory Supervision (Broadmark Asset

Management), Blue sky research, Stock Option Implementation

In three years, grew transactions from a zero revenue startup, to in excess of 300 million

dollars, in both public and private transactions.

1994 -1998 Gilford Securities, Inc. San Francisco, CA/ Newport Beach, CA

Vice-President, Branch Manager, Options Principal and Registered Representative,

Shareholder

Branch Manager, Options Principal, Compliance, Brokerage Supervision, office

leasing and build-outs, arbitrations, bond trading desk supervision, strategic

consulting and hiring, Blue sky research and general business and records

management. Oversaw the execution of over 90 million dollars in transactions per year.

In four years, increased the number of brokers in San Francisco by 400% while

increasing the revenue over 600%. Managed the lease negotiation and new office

build-out for the San Francisco office.

Successfully prosecuted (3) arbitrations before the NASD, in lieu of counsel.

(Permissible under applicable rules at that time).

Directed the change in management of the newly acquired bond

trading firm in New Port Beach, and oversaw the regulatory supervision of the same

new branch office, for the purposes of institutional bond trading.

Initially, hired as a stock broker; and, became manager and partner within one (1) year.

JAMES M. AHLSTEDT, JD

22 CHRISTENSEN CT.

ALAMEDA, CA 94502

510-***-****

acn2w9@r.postjobfree.com

1993 -1994 Duke & Company, Inc. New York, NY

Registered Representative (Stock Broker)

Acquired licensing as a Registered Representative. Developed new accounts.

1992 -1993 Carolyn A. Dwyer Real Estate Briarcliff Manor, NY

Real Estate Agent

Acquired real estate licensing primarily for land development purposes. Successfully

closed 20 real estate transactions in first year.

1985 -1992 North State Affordable Homes, Inc. Briarcliff Manor, NY

President

Acquisition and development of land; construction and sales of residential housing.

Responsible for all aspects of development from land purchases, site planning, building

and marketing of finished housing products. Constructed over 40 new homes on single

lots.

Licenses Previously Held & Degrees

● FINRA Securities License Series 7 (General Securities License)

● FINRA Securities License Series 63 (State Blue Sky License)

● FINRA Securities License Series 24 (Securities Principal License)

● FINRA Securities License Series 4 (Options Principal license)

● New York State Real Estate Agent License

● Juris Doctor (2009)

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