Sales Manager

Anthony C. Link

***** ******** ******** **** ( Naples, Florida 34105

H: 239-***-**** ( C: 239-***-**** ( ******@*******.***

Hands-on operating leader and proven business builder

in broker/dealer and investment advisor segments.

Extensive experience at senior levels with both established and start-up

investment firms. Forward-looking, change-oriented executive with proven

ability to lead operations re-design, business development/client services,

and technology build outs that support scalable revenue generation in both

traditional and online environments. Compliance expert with senior network

at the SEC, multiple FINRA locations and the DTCC.

P&L Management ( Broker/Dealer & Investment Advisor Operations ( Risk

Management ( Compliance

Product Innovation ( Technology Acumen ( Team Leadership & Development (

Change Management

FINRA ( SEC ( DTCC ( Anti-Money Laundering ( U.S. Patriot Act ( Business

Continuity

professional experience

CONSULtant

Current

Provider of business guidance to broker/dealers and investment advisory

firms. Focus on business management, operations, compliance, business

development and sales management.

Business Expert - OptionVue Securities

Provide business guidance to build out of new broker/dealer's online and

software based platform focused on options trading. Provide guidance and

counsel to the firm's partnership efforts. Work with technology team to

identify improvements and prioritize projects for system enhancements.

Maintain and enhance firm's compliance functions and implement operational

procedures for fully disclosed broker/dealer.

The Capital Group

Naples, FL ( 2008-2009

Provider of wealth management and investment services to high net worth

clients.

COO & Director of Client Services

Lead operations(especially build out of investment services and client

services platforms, including portfolio rebalancing, reporting, billing,

and client communications. Chair Investment Committee and ensure compliance

with SEC, forms ADV Part I & II, Anti-Money Laundering, and Business

Continuity Plan.

. Increased new client revenue 300% by transitioning firm from a non-

discretionary to a discretionary advisor.

. Established firm's investment philosophy and product platform for

equities and fixed income securities( differentiating company services in

the marketplace.

. Built The Capital Investment ApproachTM(a unique process for client

acquisition and ongoing service(that effectively differentiated company

services from competitors.

. Developed record-keeping and compliance systems, including an update of

firm's compliance manual and business continuity plan to better prepare

for future audits.

Trade Monster

Chicago, IL ( 2007-2008

Start-up broker/dealer specializing in options trading and offering a

unique, web-based trading system. An optionMONSTER company with

approximately 30 employees.

Chief Compliance Officer

Oversaw compliance with FINRA, SEC, the Anti-Money Laundering program, and

the U.S. Patriot Act Rules. Co-chaired Credit & Risk Committee, and served

as firm's designated Compliance Registered Options Principal (CROP).

Created procedures and policies to guide business standards. Maintained CRD

system for regulatory reporting and managed internal and external

compliance audits and accounting relationships.

ANTHONY C. LINK . Page 2 . ******@*******.***

.

TRADE MONSTER, continued:

Key member of executive management team that successfully launched firm:

o Wrote and maintained Written Supervisory Procedures and Written

Supervisory Control Procedures as mandated by FINRA.

o Guided team in regulatory and compliance requirements(enabling the

creation of a brokerage system that included services that met

regulatory and business guidelines.

o Obtained FINRA membership and state registrations ahead of scheduled

targets.

ex24, Inc.

Naples, FL ( 2002-

2007

Provider of unique Alternative Trading System (ATS) market center for

individuals trading securities directly with one another, and other

traditional and cash-based trading solutions. 24/7 operations.

Chief Operating Officer & Chief Compliance Officer

Led daily operations and staff of 10 across finance, technology,

compliance, and product development functions. Guided technology team

regarding system specifications, user interface, ATS (trading) operative

rules, and back office/system solutions and enhancements. Managed marketing

and advertising, including online, TV, newsletter, PR, e-mail campaigns,

promotions, and partnerships. Ensured compliance with FINRA, SEC, Anti-

Money Laundering, and U.S. Patriot Act Rules. Administered annual budget of

$2.4M. Member, board of directors of both company and parent, bidnask.com,

Inc.

. Developed and operated self-clearing broker/dealer with unique ATS

featuring 24/7 trading and instantaneous settlements for 3+ years without

a trade failure or glitch.

o Obtained highest-level SEC clearances for precedent-setting ATS

service(without No Action Letters. This avoided duplication of company

services by competitors.

o Gained NASD Membership and 2 Membership continuances expanding scope

of business.

o Secured rigorous Depository Trust & Clearing Corp. (DTCC) and National

Securities Clearing Corp. memberships.

o Built an almost paperless operations environment with staff estimated

at 25% of traditional firms.

o Completed FINRA audits cleanly(no disciplinary sanctions or actions.

o Led creation of integrated marketing campaign that gained new

broker/dealer clients at less than $300 per account, including design

and content of new website.

elephantX Online Securities, LLC

Fort Lauderdale, FL ( 2000-2002

Broker/dealer providing online trading for stocks, bonds, mutual funds and

options. 30 employees

VP, Operations

Led broker/dealer operations with strong risk management orientation,

including client servicing, trading, and clearing firm activities.

Developed client management and communications tools. Drove market and

brand awareness through the development of internet/electronic advertising.

. Built critical operational processes, including compliance, client

services, asset retention, risk management, account maintenance (margin),

order flow management, mutual funds, security administration groups,

customer service, and associate development.

. Differentiated online presence/company services:

o Created interactive online order entry and communications solutions.

o Designed tools to manage margin risk and security administration that

allowed for real time changes in margin requirements at both a

security and account level.

o Improved client communications by developing order rules for order

entry and client messaging.

. Devised extensive CRM system for both reactive and proactive customer

interactions.

TD Waterhouse Investor Services, Inc.

1990(2000

Broker/dealer providing securities trading and wealth management services

through a national branch network and an online presence.

ANTHONY C. LINK . Page 3 . ******@*******.***

TD WATERHOUSE INVESTOR SERVICES, INC., continued:

VP & Regional Manager, San Francisco, CA, 1999-2000

VP & Assistant Regional Manager, San Francisco, CA, 1998-1999

VP & Branch Manager, Michigan Ave. Branch, Chicago, IL, 1996-1997

VP & Branch Manager, St. Louis, MO, 1993-1995

Assistant Branch Manager, Northbrook, IL, 1991-1992

Broker, LaSalle St. Branch, Chicago, IL, 1990-1991

Fast-track promotions through progressively broader roles as a result of

strong leadership skills, the ability to start up and turnaround branch

sales offices, and a consistent record of client and sales successes.

As VP & Regional Manager, generated brand awareness and growth of $19B

regional portfolio spanning 26

branches and 315 employees across business development, client services,

sales, and operations functions.

Special emphasis on business planning and execution, and risk management.

Collaborated with peers and executive staff to set goals, expectations and

initiatives for unified, consistent national branch network.

. Exceeded regional sales goals for net new assets and new accounts each

quarter(consistently surpassing all other regions.

. Achieved significant gains in new accounts, net new assets and breadth of

client relationships by playing key role in the development and

implementation of a pilot sales program that resulted in the conversion

of branch operations into proactive sales centers for 160 retail

branches.

. Revitalized Western branch system suffering from low morale, poor

communications, a recent acquisition, and related apprehension about

converting from operations to sales centers.

o Successfully integrated the Kennedy Cabot & Co. branches and instilled

company standards region wide.

o Converted branch operations to sales centers and built cohesive team

of branch managers.

. Opened numerous branch offices(meeting corporate initiatives for brand

awareness, branch network expansion, demographic guidelines, cost

parameters, and community partnership goals.

EDUCATION and LICENSES

Economics, 1984-1989

University of Iowa, Iowa City, Iowa

Series 24, General Securities Principal

Series 8 (9 & 10), General Securities Sales Supervisor

Series 7, General Securities Representative

Series 4, Registered Options Principal

Series 55, Registered Equities Trader

Series 66, Uniform Combined State Law (Investment Advisor)

Series 63, Uniform Securities Agent State Registration

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