LARRY H. WEINBERG

**** ****** ***** ***** *****: (917) 291-

1870

Charleston, SC 29492 Email: abgs05@r.postjobfree.com

SENIOR LEVEL MANAGEMENT EXECUTIVE

Regulatory Compliance, AML Surveillance, Corporate Strategy,

Development & Implementation

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A highly accomplished multitasking management executive offering experience

across diverse industry segments with a specific emphasis in compliance,

AML, capital markets, capital raising, investment banking, and financial

services.

. Regulatory Compliance

. Capital Markets

. Capital Raising

. Strategic Planning

. Sales & Marketing Strategies

. Recruiting, Team Leadership & Collaboration

. Due Diligence & Negotiations

. AML Surveillance

. Mergers & Acquisitions

. Human Resource Solutions

. Corporate Syndicate

. P&L Management

. Value Creation Strategies

. Sales & Marketing

PROFESSIONAL EXPERIENCE

AMUR Advisors LLC - New York, NY

2009 to Present

COMPLIANCE OFFICER

Consultant to new member firm offering sophisticated trading and brokerage

services focused principally on publicly registered and Rule 144A eligible

debt and asset-backed securities to the institutional market.

. Create, develop, implement regulatory compliance program for FINRA

registered Broker Dealer.

. Maintain Firm's compliance with Patriot Act including AML, FinCEN,

OFAC, and KYC.

. Update and maintain written supervisory procedures and process and

maintain CRD filings.

. Conduct compliance meetings and prepare and direct all continuing

education programs for registered representatives.

VISCOGLIOSI & COMPANY, INC. - New York, NY

2004 to 2009

FOUNDER, PRESIDENT, CEO, and CHIEF COMPLIANCE OFFICER

Founded full service investment banking subsidiary that focused on

musculoskeletal healthcare by specializing in private equity and investment

banking. Advised clients in capital raising, mergers, acquisitions and

business development.

. Negotiated and structured 8 Reg.D private equity placements for

healthcare & orthopedic companies raising over $200mm.

. Directed and managed all legal, regulatory and compliance functions

including AML Surveillance.

. Executed the largest private healthcare transaction in 2009 for Small

Bone Innovations, Inc., raising $144mm.

. Created, hired and trained a HNW sales force focused on selling to key

opinion leaders in the musculoskeletal healthcare industry.

. Launched successful marketing program directed toward international

spine surgeons attending medical conferences around the world.

VISCOGLIOSI BROTHERS, LLC - New York, NY

2003 to 2009 DIRECTOR OF ADMINISTRATION AND OPERATIONS

Recruited by the owners of a private merchant banking firm focused on

providing specialized investment banking services to the orthopedic segment

of healthcare. Created a formal and professional structure for the

operations of the organization.

. Directed all HR functions for combined organization including

portfolio companies.

. Responsible for hiring, terminations, appraisals, counseling, benefits

and payroll.

. Created employee handbook and enforced firm wide confidentially

agreements.

. Developed standardized operating procedures for all areas of the Firm.

. Directed the planning, operational and strategic needs of the

organization.

. Focused on the financial planning process, identifying cash needs,

goals and priorities of the business.

. Organized and directed weekly partner meetings.

. Created Family Office environment to handle the personal and business

needs of the owners.

A.G. EDWARDS & SONS INC. - Albany, NY

2002-2003 FINANCIAL CONSULTANT, AAMS

. Financial Consultant serving retail and small business owners.

. Advised clients on savings, insurance, investments, and retirement

strategies.

. Helped clients determine proper investment objectives.

. Conducted financial planning sessions with clients and prospects.

FIRST ALBANY CORPORATION - ALBANY, NY

1995-2001

VICE PRESIDENT, EQUITY SYNDICATE

. Directed sales and marketing of syndicate products including IPO's and

secondary financings to retail and institutional sales.

. Negotiated and priced managed transactions.

. Responsible for all regulatory filings for managed and co-managed

business and executed all syndicate closing activities.

. Coordinated and managed road show activities for managed and co-

managed business.

. Promoted FAC/Equities institutional research and retail distribution

capabilities to other investment banks.

GKN SECURITIES CORP. - NEW YORK, NY 1994 -

1995

SENIOR VICE PRESIDENT, EQUITY SYNDICATE MANAGER

Contracted to upgrade new products and services for retail sales. Managed

and co-managed eleven Specialized Purpose Acquisition Companies ("SPAC's).

MESIROW FINANCIAL, INC. - CHICAGO, IL

1993

VICE PRESIDENT, EQUITY SYNDICATE

. Marketed syndicate products to retail and institutional sales.

. Conducted branch office meetings and increased syndicate revenues by

providing product that was not previously available to the sales

force.

. Responsible for all syndicate due diligence and closing documentation

PROFESSIONAL QUALIFICATIONS

Qualified and registered with the Financial Industry Regulatory Authority

(FINRA) having successfully passed the following qualifications:

. Series 4 (Registered Option Principal)

. Series 5 (Interest Rate Examination)

. Series 7 (General Securities Representative)

. Series 24 (General Securities Principal)

. Series 53 (Municipal Securities Principal)

. Series 55 (Equity Trader Limited Representative)

. Series 63 (Uniform Securities Agent)

. Series 79 (Investment Banking Representative)

EDUCATION

Bachelor of Science in Business Administration; Economics; Arizona State

University

Society For Human Resource Management - Certificate Program, 2006

(Detailed employment history and references provided upon request)[pic]

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