Seasoned Chief Financial Officer with IT and HR oversight experience

Alan B. Levin

Coral Springs, FL ***** 954-***-****

www.linkedin.com/in/alan-levin-4b07186 ********************@*****.*** Financial Services Industry

Chief Financial Officer/Chief Accounting Officer

Seasoned executive leader within high-profile public and private financial service providers. Expertise in all facets of accounting, financial analysis, and controllership with an “in the trenches when needed” mentality.

Process Improvement/Automation

Mergers & Acquisitions

Financial Reporting

Performance Evaluation

Technology Compliance Committee

QuickBooks/QuickBooks Pro

Microsoft Dynamic Solutions

Cost Control

Cash Flow Modeling

Corporate Accounting

Regulatory Compliance

Human Resources

Team Building

Microsoft Office Skills

Needs Analysis

Budgets

Investor Relations

Operations Management

Financial Planning

Employee Relations

WDesk collaborative reporting

Professional Experience

Personal Real Estate Management and Insurance Sales 2016–Present Manage personal real estate investments and sell life, disability, health insurance and annuities. NATIONAL HOLDINGS CORPORATION, Boca Raton, FL 2005–2016 Chief Financial Officer / Financial and Operations Principal Served as CFO and FINOP for multiple FINRA Broker-Dealer and other affiliated entities. Supervised direct and indirect reports in accounting, human resources, and information technology, while interacting on a daily basis with everyone from the staff to the Board of Directors.

Key Achievements:

Completed one asset acquisition and two mergers with other public companies in a period of 10 years creating a combined workforce of over 1,200 associated persons with 80 offices in the US and abroad and combined revenues of nearly $184M by 2016

2007 Select Asset Purchase

Completed asset purchase for stock to acquire approximately $7M in annual revenues generating cash flows of over $1M and $3M annually within 12 and 24 months respectively

Created controls and supervisory procedures to ensure compliance with FINRA and SEC rules specific to this activity

2008 Merger of 2 NASDAQ Bulletin Board Companies

Completed a merger of 2 public NASDAQ BB companies in 2008 creating combined revenues of $85M and approximately 900 associated persons

Reduced combined accounting and finance staff of the combined entities from 22 to 9, saving the merged entity over $600K annually, consolidating accounting systems within 6 months

Reduced combined technology staff from 17 to 11, while improving security and technology uptime, saving over $300K annually

Evaluated operational staff, real estate leases and operational processes companywide, saving a total of over

$3.5M in the first year and over $6M in 24 months, not including the aforementioned savings

Implemented first phase of Sarbanes Oxley documentation creating process documentation and identifying key controls and weaknesses

Alan B. Levin

Coral Springs, FL 33071 954-***-****

2013 Merger of 2 NASDAQ Bulletin Board Companies

Completed a merger of 2 public NASDAQ BB companies in 2013 creating combined revenues of $184M and approximately 1,150 associated persons

Reduced accounting and finance staff of the combined entities from 20 to 12, saving the Company over

$350K annually, consolidating all accounting systems within 8 months

Reduced combined technology staff from 16 to 12, while improving security and technology uptime, saving over $300K annually

Contributed to the 258% increase in Adjusted EBITDA between fye 2013 and fye 2014 through additional operational evaluations and changes

Implemented WDesk, saving 50% of prior year annual reporting cost in first year for automation and production of consolidated financial reports and SEC filings

Performed intensive evaluation of all business insurance needs recently saving $300K in increase on health insurance premiums alone

UNITED CAPITAL MARKETS, INC., Key Biscayne, FL 2000–2005 Chief Financial Officer / Financial and Operations Principal Managed the company’s financial and operational systems and controls as well as technology. Coordinated the preparation of financial reports and related entities financial statements while also supervising numerous direct and indirect reports in areas of accounting, human resources, and information technology. Key Achievements:

Established all procedures and controls for a start-up BD, trading Asset Backed Securities and Collateralized Mortgage Obligations

Successfully secured over $100M in financing for large asset acquisitions including corporate aircraft, yachts, commercial and residential real estate

Designed, installed and managed a gigabit network for 30 users across multiple offices

Managed all aspects of administration, including human resources function, payroll, health benefits, workers compensation, recruitment, and termination practices as well as all general insurances

Prepared highly professional and compelling representation of income broker/dealer at numerous national and international trade shows

Coordinated the annual corporate audit and led the preparation of corporate tax returns Additional work experience as Chief Financial Officer / Financial and Operations Principal at AllStar Equities, LLC

& National Stock Trading, and as General Manager Broadway Trading, LLC. Education & Credentials

Bachelor of Science in Economics, Concentration in Accounting Southern Connecticut State University, New Haven, CT PROFESSIONAL LICENCES

SEC Series 99 Operations Professional

SEC Series 27 Financial & Operations Principal (FINOP) Florida 2-15 Health & Life (Including Annuities & Variable Contracts) Agent License

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