Management Analyst

WILLIAM W. McGINNIS, Jr., CFA

W. McGinnis Advisors, LLC

**** *. **** ***.

Milwaukee, Wisconsin 53211

abplej@r.postjobfree.com / 414-***-****

SUMMARY

Sell-side investment analyst - 10 years

Portfolio manager and buy-side analyst - 1 year

Investment banking - 5 years

5 years of experience working for a large certified public accounting firm, including

auditing field work experience

Holds or has held CFA, Series 7, Series 65 and Series 63

Education: Majored in Finance and Management Information Systems with minors in

Economics and General Business. Magna Cum Laude graduate from Honors College

and Presidential Scholar.

Professional speaker with significant press experience

Training and education instructor 20 years

PROFESSIONAL EXPERIENCE

PRESIDENT & FOUNDER

Exponential Careers 1997 - Present

Milwaukee, Wisconsin

Professional speaker and consultant on career strategy development and career growth issues.

Specialize in working with investment analysts and portfolio managers. Consult with executives who

are interested in focusing and accelerating their careers. This includes an evaluation of goals,

assessment of opportunities, development of a strategic plan, resume redevelopment, interview coaching

and compensation package negotiation coaching. Corporate services include evaluation and training

relating to recruiting and retention of professional staff and on-campus recruiting services.

Sr. VICE PRESIDENT & Sr. INVESTMENT ANALYST

Robert W. Baird & Co. 1995 - 1997

Milwaukee, Wisconsin

Financial Institutions (banks / savings & loans asset sizes ranging from $50 million to over $50

billion), Specialty Finance, Private Mortgage Insurance and Banking Technology equity analyst for a

leading regional brokerage firm. Performed economic, industry, and company analyses in the evaluation

of investment alternatives. Frequently communicated with and interviewed senior

William W. McGinnis, Jr., CFA CV, p. 2

Sr. VICE PRESIDENT & Sr. INVESTMENT ANALYST - Robert W. Baird & Co, Continued

management of corporations; maintained daily contact with institutional investors and retail brokers.

Worked closely with the firm s investment bankers and OTC trading desk. Required strong research,

oral and written communication skills. Published hundreds of research reports including industry

analyses, detailed company evaluations and recommendations and periodic investment updates.

Managed, trained and guided a staff of three including two senior analysts. Frequent public speaker on

securities valuation, economic analysis and industry trends. Frequently conducted broker and investor

education seminars on Baird s behalf. Institutional clients included firms such as Fidelity Funds, T.

Rowe Price, J. P. Morgan, John Hancock and Northwestern Mutual Life.

PRESIDENT

DHBC, Inc. (a development-stage consumer goods company) 1993 - 1995

Milwaukee, Wisconsin

Developed the business plan, marketing plan and financing strategy for a newly formed company.

Researched and created the product, evaluated various production methodologies, negotiated

production pricing, quality control, production schedules and delivery schedules. Arranged suppliers,

created the distribution channel, developed the branding including packaging, merchandising and

advertising.

VICE PRESIDENT, PORTFOLIO MANAGER & ANALYST

Capital Investment Services of America 1992 - 1993

Milwaukee, Wisconsin

Managed selected portfolios for this $1 billion investment management firm. Responsible for all aspects

of portfolio management including investment plan development, selection of investments,

communication with the in-house trader, and relationship management. Also analyzed equity

investments across a broad range of industries. Stocks followed included 3M, Disney, Kodak, GenRe,

Chrysler, Sigma Aldrich Chemical, Authentic Fitness, Florida Power & Light and dozens more.

Worked with nationally-known consultants (SEI, Mercer, etc.), brokerage firms and investors in the

development of new business. Clients included corporate plans, individuals, and charitable

organizations.

VICE PRESIDENT & Sr. INVESTMENT ANALYST

The Chicago Corporation 1991 - 1992

Chicago, Illinois

Financial Institutions (banks / savings & loans) equity analyst for a regional brokerage firm. Performed

economic, industry, and company analyses in the evaluation of investment alternatives. Frequently

communicated with and interviewed senior management of corporations. Maintained daily contact with

institutional investors and retail brokers. Worked closely with the firm s investment bankers and OTC

trading desk. Required strong research, oral and written communication skills. Published company

outlook and investment research reports as well as industry analyses.

William W. McGinnis, Jr., CFA CV, p. 3

VICE PRESIDENT & Sr. INVESTMENT ANALYST

Kemper Securities Group (Blunt Ellis & Loewi) 1988 - 1991

Milwaukee, Wisconsin

Financial Institutions (banks / savings & loans) equity analyst for a leading regional brokerage firm.

Responsible for all economic, industry, and company analyses in the evaluation of investment

alternatives. Frequently communicated with and interviewed senior management of corporations.

Maintained daily contact with institutional investors and retail brokers. Worked closely with the firm s

investment bankers and OTC trading desk. Required strong research, oral and written communication

skills. Regularly published research reports on companies and industries followed. Developed and

published a comprehensive quarterly research report covering every publicly traded financial institution

in nine Midwestern states.

VICE PRESIDENT & INVESTMENT ANALYST

The Milwaukee Company (Dain Bosworth) 1987 - 1988

Milwaukee, Wisconsin

Financial Institutions and Generalist (retailing, manufacturing, paper companies, etc.) equity analyst for

a regional brokerage firm. Performed economic, industry, and company analyses in the evaluation of

investment alternatives. Frequently communicated with and interviewed senior management of

corporations and maintained daily contact with retail brokers. Worked closely with the firm s OTC

trading desk. Required strong research, oral and written communication skills.

FINANCIAL ANALYST & MANAGER

Crowe, Chizek & Company, CPAs (currently the 8th largest U.S. CPA firm) 1982 - 1987

Indianapolis, Indiana

Formed, developed, and managed the firm's Financial Resources Group which executed investment

banking projects for clients. Extensive experience in mergers & acquisitions, business valuations,

security valuations, financing alternatives analysis, financial modeling, financial projections, strategic

planning, budget development and control, business development planning, monthly performance

analysis and reporting, regulatory reporting and profitability improvement. Merger and acquisitions

experience includes: business valuations, negotiations, target identification, acquisition planning,

integration planning, offer analysis, tax and accounting structure and target analysis. Also performed

extensive work in asset / liability management.

OTHER PROFESSIONAL EXPERIENCE

Investment Analysis: Experience analyzing financial companies (banks, savings & loans, private

mortgage insurers and insurance companies), technology companies, medical companies, retailers,

brewers, manufacturers and more. Significant experience analyzing and investing in all sizes of

companies from development stage to multinational with multibillion dollars of sales. Direct

experience in the following investment styles: growth at a reasonable price (GARP), large cap growth

and value investing.

William W. McGinnis, Jr., CFA CV, p. 4

Securities: Experience with securities regulators, equity offering filings and working with

underwriters counsel.

Training & Education: Over 20 years of experience educating and training individuals, small groups

and large audiences. Able to explain complex investment, accounting, regulatory and other issues in

simple, straight-forward, understandable ways. Strong use of analogies and diagrams.

Sales: Significant sales experience covering more than 20 years. It is a common misperception that

investment analysts are green eye-shade types. Sell-side analysts generally spend 50% or more of

their time in a sales capacity interfacing with brokers, institutional and retail clients and investment

banking clients. Experience selling investment research, investment management services, securities,

and professional services.

PERSONAL INVESTING EXPERIENCE

Began investing in stocks at the age of 11. At the time was the only person in the family to have a

stock broker including parents. Began reading Barron s, Forbes and the Wall Street Journal on a

regular basis early in high school. Began trading stock options on 18th birthday from dorm room.

EDUCATION

Bachelor of Business Administration, Honors College graduate and Presidential Scholar,

3.87 GPA (4.00 Scale), 1982, Western Michigan University.

Majors: Finance, Management Information Systems

Minors: Economics, General Business

Chartered Financial Analyst (CFA) designation awarded in 1989.

Financial Analysts Seminar, sponsored by Association for Investment Management and Research, July

1992, Northwestern University.

Securities examinations: Series 7, 63 and 65 (expired).

Continuing professional education: Approximately one thousand hours of continuing professional

education since college on topics including: SEC regulations, ethics, accounting, auditing, taxation,

mergers & acquisitions, business valuation, trading policies and procedures, portfolio management and

negotiations.

William W. McGinnis, Jr., CFA CV, p. 5

PERSONAL DATA

Born: September 1960

Height: 6 2

Weight: 190

Health: Excellent

PUBLISHING & MEDIA EXPERIENCE

Have published thousands of industry and company reports as a research analyst. These reports were

disseminated to brokers, traders, retail investors, institutional investors, the press and others.

Extensively quoted as an equity investment expert and industry expert in publications including:

Barron s, Forbes, Fortune, Newsweek, Chicago Tribune, Detroit Free Press, American Banker,

Money and Time.

Has appeared as a financial industry and investment expert on television talk shows, at conferences, in

company films and in company publications.

OTHER EXPERIENCE

Extensive technology background including significant knowledge of microcomputers and larger

computer equipment. Have worked with a variety of electronic spreadsheet, word processing,

graphics, and electronic mail systems. Also have programmed computers using many languages.

Significant internet experience including a variety of web technologies. Have used email since 1984

and have actively used the Internet since 1993.

ORGANIZATIONS & ACTIVITIES (past and present)

Association for Investment Management and Research

Financial Management Association

Investment Analysts Society of Chicago

Milwaukee Investment Analysts Society

New York Bank & Financial Analysts Association

Personal interests include: tennis, golf, roller blading and biking.

SERVICES PROVIDED

Expert witness, litigation support services, case analysis, financial analysis, business valuation and

securities valuation related to investments, securities fraud, accounting fraud, investment banking,

investment research and stock brokerage.

Contact this candidate