Raymond J. Stockus

**** ***** **

Oceanside, CA *2056

bus 760-***-****

cell 760-***-****

abhs95@r.postjobfree.com

ABOUT ME

As CEO, I’ve been operating my own OSJ, wealth management boutique investment firm

in La Quinta, California since 2002, providing investment growth strategies to high net worth

individuals...making a difference in their lives.

Inspired by a need for a personal time out from Canadian boardrooms, I moved to Palm

Springs in 1997 and embarked on a career change from corporate finance to marketing. I joined

Merrill Lynch in Indian Wells as a financial consultant in 1998. two years later moving on to

Morgan Stanley.

I'm very open to a transition back to corporate senior management. I'm very diverse,

therefore your industry is not a barrier- I'm industry agnostic. Your need for leadership

skills/results is my key variable...

I have a twenty year multi-industry background in strategic planning, corporate finance as a

CFO and in corporate development wherein I've either led diverse teams or participated in over

25 corporate mergers, acquisitions and divestitures, including post acquisition management. I've

served as COO of Nunasi Corp. a private investment & management company owned by the

Canadian Eskimos. My range of experience has spanned coast to coast, developing growth

strategies across a broad spectrum of companies, industries and corporate cultures incl. Hudson’s

Bay Company-a billion dollar diversified retail conglomerate (world's oldest company-1670),

Sun Oil Company (now Suncor Inc. with the world 's largest tar sands) and Nickerson/National

Sea, largest seafood company in Canada at the time.

EDUCATION

MBA University of Toronto, Finance, Accounting

BA University of Windsor, Economics, English Literature

SEURITIES LICENCES HELD

FINRA, Series 7, 15, 24, 63 and 65

California Insurance License 0C32350

CAREER INTERESTS, EXPERIENCE

PROFESSIONS INDUSTRIES

- CEO, COO, CFO, Controller - natural resources incl. energy,

-corporate development, m&a mining, chemical industries

- strategic corporate planning - commercial real estate, construction

- corpreneur, change agent - native aboriginal business,

transportation

- corporate services, HR - retail, dep't store, wholesale

- investment management, incl. - food and beverage incl. seafood

compliance & investor relations - financial services, real estate, prop

mgm't

Ray Stockus page 2 of 3

1998 – Present registered with the SEC and FINRA

2002-present, La Quinta, California; independent financial advisor,owner/ CEO of my

own wealth management investment firm, affiliated with Pacific West Securities, an

independent broker dealer. High net worth private client base (my own proprietary

clients); managing traditional stock & bond, mutual fund, variable annuity portfolios.

Main focus has been on Reg D offerings, securitized commercial real estate investments,

$1 million and up in real property exchanges under tenant in common (TIC) programs

and energy investments.

• 06/2007- 12/2009 Pacific West, La Quinta, CA & Bend, Oregon, financial

advisor, private clients

• 12//2002- 06//2007 Brookstreet Securities, La Quinta, CA, financial advisor,

private clients

• 04/2000- 10/2002, Morgan Stanley, Palm Desert CA, financial advisor, private

clients

• 01/1998- 4/2000, Merrill Lynch, Indian Wells, CA, financial consultant, Private

Client Group, graduate of their PDP (Professional Development Program in

Princeton, NJ)

• Securities licences held & credentials-Series 7, 24, 63, 65, California Department

of Insurance license, Certified Financial Manager (Merrill Lynch)

Investment Industry Accomplishments 1998 – Present

• Successfully transitioned a career change from finance/corporate admin to marketing &

consultative selling; from Canada to USA, from corporate client counseling to private

individual counseling. My private client base has been diverse and ranges from high net

worth retirees, small businesses to executives, clergy, doctors, professors and farmers.

• Graduated from the Merrill Lynch Professional Development Program in Princeton, an

elite consultative marketing program by invitation only but with a very high casualty

rate…gathered $10 million in new private client accounts and prepared 25 private client

financial plans in 18 months… 25% ahead of target.

• By accumulating out-of-favor industrial and energy stocks seven or eight years ago, and

through selective use of corporate bonds and variable annuities with unique living

benefit riders, my recommended investment portfolios have outperformed the market by

at least 300-400 basis points annually. On average, on $25 million in assets, there’s been

a value added to my clients of over $1 million a year.

• Have saved clients many millions more over the years in taxes that would have been

otherwise payable on the dispositions of their highly appreciated assets, mostly real estate

and/or sale of business through timely and judicious use of estate planning techniques

such as charitable remainder trusts and through Sec 1031 tax deferred commercial real

estate exchanges.

Ray Stockus page 3 of 3

Previous to 1998 (Corporate Executive Experience)

Corporate Development Consultancy, Ottawa & Toronto. Founder and CEO of

business advisory, management consulting practice in strategic planning, mergers &

acquisitions. Blue chip corporate clientele.

Hudson’s Bay Company, Winnipeg & Toronto. Financial Analyst, Manager of Special

Projects for this billion dollar, diversified public company in retail, commercial real estate and

energy holdings.

Nickerson/National Sea Products, Halifax, Nova Scotia. Director, Planning & Development,

post acquisition management of $500 million private, fully integrated seafood company.

Suncor Inc, Toronto, Business Development Specialist for the Sunoco Group, Canadian arm of

Sun Oil Company. CFO and Director of Sunchem Inc. $200 million petrochemical subsidiary-

production, international distribution and marine transportation focus.

Nunasi Corporation, Ottawa, Executive Vice President, CFO and Director of $50 million

investment holding company, privately owned by Canadian aboriginal Eskimos. (real estate,

mining, air and marine transportation). Built company from scratch, responsible for overall

business management / direction and corporate development of the investment portfolio. An all

aboriginal board of directors, 20,000 shareholders, complex communications.

Assaly Group of Companies, Ottawa, Corporate Controller, CFO $200 million real estate

developer and marketer of tax shelter condominiums. COO of property management division

managing 2500 units for outside investors.

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