Manager Customer Service

STEVEN C. ROTH, CPA *** DE LA VISTA SANTA BARBARA CA 93103 805-***-****

E-mail: *****.****@***.*** Page 1

PROFESSIONAL EXPERIENCE

Pacificor, LLC Santa Barbara, CA

Chief Financial Officer / Chief Operating Officer / Chief Compliance Officer 2004 - present

• Report directly to the CEO/CIO for a registered investment adviser and fund manager

• Worked closely with CEO to source a prime broker, legal counsel, administrator and auditor for four start-

up hedge funds (three domestic and one offshore)

• Liaise with the auditors and tax preparers for four annual fund audits and three annual partnership returns

• Main contact with the fund and Separately Managed Account (SMA) administrators (4 administrators total)

• Responsible for monthly fund/SMA reconciliations

• Responsible for reporting monthly performance

• Supervise one Fund Accountant and a Client Services Representative

• Negotiate, review and approve contracts and management agreements

• Work closely with legal counsel on general, fund, SEC and other legal matters

• Manage banking and prime broker/custodial relationships

• Establish and maintain client relationships with High Net-Worth and Institutional investors

• Prepare financial statements and budgets for the firm, as well as work closely with the firm’s tax preparer

• Handle all client billing (management and incentive fees)

• Main contact with outsourced IT firm; integral in decision to replace/upgrade our server and to have a

redundant server offsite, as well as replacing all desktop computers with laptops for more portability

• Work closely with counsel to prepare and update the firm’s compliance manual and fund documents

• Responsible for updating the firm’s ADV Part I and Part II/Schedule F, as well as the Compliance Manual

and Checklists as required by regulatory authorities

Shorty’s Skateboards, Inc. Santa Barbara, CA

Vice President, Finance 2002 - 2004

• Report directly to CEO for a skateboard company which markets and sells hardgoods and softgoods

• Oversee and manage all accounting activities, including general ledger maintenance, financial statement

preparation, cash management, asset management, cost accounting, and financial planning and reporting

• Assemble the monthly accounting and financial package and present to the owners and CEO

• Oversee and manage all banking and finance relationships, as well as establishing proper finance levels

• Responsible for setting up and implementing company-wide budgeting and cash flow forecasting

• Direct strategic cost initiatives as well as being involved in product development including establishing

gross margins and sales prices

• Assist VP Ops when needed with all production and purchasing, domestically and internationally

• Responsible for managing production and inventory control, including purchase orders, work orders and

bill-of-materials

• Lead business initiatives for revenue, product margins and cash management strategies

• Oversee IT function including primary management and oversight of enterprise software

• Direct and lead initiatives to improve and enhance IT infrastructure to support the business plan

• Oversee day-to-day operations in order to achieve company goals and meet company deadlines

• Manage service level agreements with all business partners and ensure operational performance meets or

exceeds targets

• Work with internal groups and outside legal counsel to fight copyright and trademark infringement

• Establish and implement internal control procedures for all accounting areas, including cash, production,

purchasing, inventory, fixed assets, and travel & entertainment

• Oversee Human Resources function, including ensuring that all internal and external reporting

requirements are met, all personnel issues are resolved timely within established internal and external

guidelines and that payroll is handled accurately and confidentially

STEVEN C. ROTH, CPA 535 DE LA VISTA SANTA BARBARA CA 93103 805-***-****

E-mail: *****.****@***.*** Page 2

TrueLink, Inc. San Luis Obispo, CA

Corporate Controller 2000 – 2002

• Report to CFO and directly manage and supervise Accounts Receivable, Accounts Payable and Purchasing

• Responsible for monthly financial statement preparation and analysis, including reconciliation of revenue

and cash receipts from the Company website and reconciling vendor invoices to internal activity reports

• Prepare and analyze monthly, quarterly and annual management reports for the CFO and CEO

• Responsible for negotiating and monitoring hardware and software purchases and leases

• Work directly with the independent auditors and tax preparers

• Decreased the month-end closing time from over 20 business days to just five, while increasing accuracy

• Work closely with marketing, customer support, development and engineering to make sure accounting

gets the necessary information to complete the financial statements in an accurate and timely manner

• Develop, control and update the monthly, quarterly and annual budgets

• Develop and document accounting policies and procedures for the Company accounting manual

• Responsible for reviewing contracts with potential customers and vendors

• Involved in raising outside investor money

• Work closely with HR to formulate the company-wide compensation, bonus and benefits plans, as well as

assisting in personnel, payroll and 401k issues that arise

• Manage all cash (Treasury function), from Checking and payroll, to escrow and investment accounts

Fidelity National Title Insurance Company Santa Barbara, CA

Accounting Manager 1999 – 2000

• Directly managed and supervised seventeen people

• Member of the transition team that was responsible for integrating acquisitions into the company

• Handled accounting questions from throughout the organization, applying proper accounting principles,

reviewing discrepancies, and ensuring the accurate documentation and correction of errors

• Reviewed financial reports before presentation to executive management, shareholders and lending

agencies

• Responsible for compilation of financial information from 10 direct subsidiaries, made up of over 100

counties, each containing multiple offices throughout each county

• Directed the accumulation of data from across the organization, including direct subsidiaries and agencies,

into a central accounting package, AS400/JD Edwards, to create consolidated financial information

• Controlled the process of data consolidation to ensure accuracy and timeliness of the financial reports

• Implemented improvements in file/data retention, month-end closing procedures and a Mentor Program

• Responsible for organizing and cleaning up the department

McGowan Guntermann, Certified Public Accountants Santa Barbara, CA

Senior Accountant 1996 – 1999

• Planned and performed compilations, reviews, audits and other accounting engagements for clients in the

areas of: manufacturing, retail, SEC, broker-dealer, financial services, non-profit, 401k, government and

estates/trusts

• Responsible for multiple complex accounting projects and managing the related budgets for each project

• Reviewed workpapers prepared by junior-level accountants

• Analyzed and documented business processes, providing clients and management with solutions and viable

implementation plans

• Prepared monthly, quarterly, and annual financial statements as well as special reports per partner and

client specifications

• Performed controller functions such as payroll, bank reconciliations, accounts receivable, notes receivable,

accounts payable, notes payable and the preparation of interim financials for partnerships and corporations

• Worked closely with clients in order to achieve the desired goals of the client and the firm, while also

meeting the professional standards required of accountants and auditors

• Prepared and reviewed tax returns for corporations, partnerships, non-profits, estates, and individuals

STEVEN C. ROTH, CPA 535 DE LA VISTA SANTA BARBARA CA 93103 805-***-****

E-mail: *****.****@***.*** Page 3

Norwest Financial Camarillo and Santa Barbara, CA

Assistant Branch Manager 1993 – 1996

• Routine analysis of the budgeted and actual revenues and expenses for a branch

• Formulated the annual budget for the local profit/loss center, including projections and estimated return on

investment scenarios

• Made credit/lending decisions, reviewed credit decisions and loan documentation made by branch staff

• Supervised branch personnel

• Researched and verified information related to the documentation of loans

• Provided outstanding customer service and advised customers on financial arrangements

• Developed financing programs for retail stores and their customers

EDUCATION

California Polytechnic State University, San Luis Obispo, CA

B.S. Business Administration, 1992.

Concentration: Financial Management

ACHIEVEMENTS

Certified Public Accountant – CA License #77114

Awesome Service Award – McGowann Guntermann

For most suggestions for ways to improve operations and efficiency that clients implemented

Top Gun Award (individual performance award) – Norwest Financial

Award for outstanding performance by exceeding the highest goals

Landmark Achievement (branch performance award) – Norwest Financial

Award for reaching and maintaining a high level of receivables within the branch

COMPUTER SKILLS

Accounting software: Spreadsheet/Database: Word Processing:

JD Edwards Excel MS Word

ACE/GoSystem Lotus WordPerfect

Quickbooks Access

Peachtree Crystal reports

WFX tax software Advent (trading and

MAS90/MAS200 portfolio management

ACCPAC software)

MEMBERSHIPS

California Society of Certified Public Accountants

Monthly Bulletin Editor for the Channel Counties Chapter - 1998

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