Sales Insurance License

Michael P. McCormick

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

O'Fallon, MO 63366

Home 636-***-****

Cell 314-***-****

Professional Experience

Sogotrade Wang Investments Oct. 12 to Nov. 12

Chief Compliance Officer

. Responsible for oversight of all AML activity

. Daily activities included: reviewing trade blotters, security transactions, margin loans, the

approval of customer accounts, and consistent AML oversight.

…Responsible for the writing of all supervisory measures.

…Reported directly to the CEO all supervisory concerns.

Edward Jones Investments Apr. 07 to Dec.10

Compliance Officer – Field Supervision Director

. Oversight of daily advisory platforms

. Responsible for oversight of all AML activity

. Responsible for the daily oversight of approximately 100 financial advisors.

. Daily activities included: reviewing trade blotters, security transactions, margin loans, the

approval of customer accounts, and consistent AML oversight.

. Responsible for visiting a minimum of 30 branch offices a year in South Dakota and

Nebraska.

. Facilitate the exchange of information about assigned financial advisors to all parties

Involved via their oversight and audits.

Financial Advisor Development Sr. Development Leader Sep. 04 to Apr. 07

. Monitor the productivity of approximately 150 financial advisors.

. Provide assistance with sales ideas and opportunities for clients.

. Responsible for analyzing productivity reports for all assigned financial advisors.

. Weekly presentations given to the firms General Partners concerning the progress of the assigned financial

advisors.

. Responsible for the termination of non producing financial advisors.

Branch Service Representative Sr. Representative Dec. 98 to Sep. 04

. Responsible for providing assistance for all daily branch activities with branches that had an asset under

management amount of 100 million or greater.

. Assisted in sales related practices including the entering of client’s orders.

. Monthly presentations given to the department concerning all relevant industry and firm topics.

. Responsible for training new associates in the department.

EDUCATION

Maryville University, St. Louis, Missouri

MBA, Concentration in Managment, Graduation Date of May 2005

Missouri Baptist College, St. Louis, Missouri

B.A., English, Minor Secondary Education, 1994

LICENSES

Series 07 General Securities License

Series 09 General Supervision

Series 10 General Supervision

Series 24 General Supervision

Series 63 State Securities Law Exam

Missouri Life and Health Insurance License

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