J. Brett Stuart, M.A., J.D., D.Tax., LL.M.

Castle Rock, Colorado 80109 Phone: 720-***-****

ad0vdj@r.postjobfree.com

RESUME OF QUALIFICATIONS

WORK EXPERIENCE:

CHIEF EXECUTIVE OFFICER

SEC/FINRA REGISTERED BROKER/DEALER 7/2007 to 03/ 2023 Castle Rock, Colorado 80109

• Created and operated a full service broker/dealer under FINRA and SEC regulations.

• Operated as an investment banker and secured private capital sources for business expansion and private placement ventures.

• Oversee and advise on investor relations, compliant operations, and private placement programs.

• Placed private securities under Reg D of the 1933 Act for ventures in medical real estate, oil and gas, hotels, and solar and wind energy projects in offshore locations. CHIEF COMPLIANCE OFFICER and MANAGING PRINCIPAL 10/2004 to 09/2006 Intervest International Equities, Corp, Colorado Springs, Colorado

• Serve as the senior compliance principal for a mid-sized broker/dealer;

• Sit as the managing principal of the firm’s registered investment advisory firm;

• Supervise and manage 70 retail sales representatives in 20 states and 4 countries;

• Assist outside counsel in all civil actions and FINEA arbitration matters;

• Act as Anti-Money Laundering principal in charge of AML training; and

• Performed due diligence reviews and product packaging of private placement products in the areas of oil/gas and alternative energy offerings.

ADJUNCT PROFESSOR OF FINANCE/ECONOMICS 2018 to 2020 Denver University, Denver, Colorado

• Prepared, and presented complete online classes and lectures in the areas of economics, and finance for MBA program classes.

COURSE DESIGNER AND ADJUNCT PROFESSOR 2007 to 2013 Online Consultant – Los Angeles College International

• Formulate and create an online course in the area of business and e-commerce law; and

• Serve as adjunct instructor for the course developed. ADJUNCT INSTRUCTOR OF ECONOMICS AND LAW 2005 to 2007 ITT University, Indiana

• Designed, prepared and presented lectures in the areas of economics, contract and business related law as well as micro and macro economics.

ADVANCED (HIGH NET WORTH) FINANCIAL PLANNING 10/2001 to 10/2004 SECURITIES AND COMPLIANCE PRINCIPAL

BCI (Core Asset Management) – M Holdings Securities, Inc. Denver, Colorado

• Analyze financial documents, evaluate business agreements, examine estate planning and tax documents to create sophisticated business succession and estate plans for high net worth individuals, families and businesses;

ADJUNCT INSTRUCTOR OF ECONOMICS 2002 to 2008

University of Phoenix, Denver, CO

• Designed, prepared and presented lectures in the areas of micro/macro economics and graduate statistics.

RESUME OF QUALIFICATIONS - PAGE TWO

WORK EXPERIENCE: continued

COMPLIANCE - HOME OFFICE SUPERVISING PRINCIPAL 1999 to 2001 SECURITIES SERVICE NETWORK, INC., Knoxville, Tennessee

• As a compliance principal, review and analyze all investment activity, financial plans; assist in the development and on-going analysis of individual, corporate, and retirement programs for various investment clients and for various investment objectives;

• Directly supervise over $500million in invested assets, supervise all trading transactions, and prepare statistical reports on expenses and rates of return for various alternate investment products;

• Directly supervise approximately 70 home office registered representative including on-site compliance audits; and

• As part of the corporate legal team, participate in SEC and NASD audit process, conduct corporate level compliance audit of firm. Assist in complaint and arbitration matters. ADJUNCT PROFESSOR OF ECONOMICS 1999 to 2001

TUSCULUM COLLEGE, Knoxville, Tennessee

• Designed, prepared and presented lectures in the areas of micro and macro economics and undergraduate statistics.

INVESTMENT REPRESENTATIVE - OFFICE MANAGER 1997 to 1998 EDWARD JONES INVESTMENTS, Knoxville, Tennessee

• Advise and consult with individuals, investment clubs and businesses concerning personal and employer related investment programs

LEGAL/FINANCIAL/BUSINESS CONSULTANT 1995 to 1997

TENNESSEE RESEARCH ASSOCIATES, Kodak, Tennessee

• Advise and consult upon aspects of business organization, and operational formats; analyze and direct financial/tax operations;

• Served as business manager of various production entities associated with Aaron Spelling Productions. Acted as consultant to law firms in the Knoxville area; and

• Conducted research in corporate law, taxation and securities. EDUCATION:

MASTER OF LAW - TAXATION (LL.M)

Concentration in the area of business and corporate law, and federal taxation. UNIVERSITY OF SAN DIEGO, San Diego, California

JURIS DOCTOR (J.D.)

Concentration in business and corporate law, and federal taxation. UNIVERSITY OF SAN DIEGO, San Diego, California

MBA Program in FINANCE (M.B.A.)

California State UNIVERSITY, San Bernardino, California Concentration in managerial accounting and finance. MASTER OF ARTS in ECONOMICS (M.A.)

Concentration in econometrics, international finance, applied statistical and computer analysis. UNIVERSITY OF CALIFORNIA, Riverside, California

BACHELOR OF ARTS (B.A.)

Concentration in the area of economics, business, foreign languages, and political science DRAKE UNIVERSITY, Des Moines, Iowa

APPOINTMENTS: Appointed to serve as Arbitrator on Dispute Panel of the FINRA - Problem Resolution. FINRA LICENSES: FINRA licensed as a Series 4, Series 7, Series 24, Series 65, Series 53, Series 27, Series 55, Series 79, and insurance related securities. PERSONAL HOBBIES AND DIVERSIONS: Training in the Youn Wha system of martial arts that includes the study of Tai Kwan Do, Judo, Jiu Jitsu, Wing Chung, Tiger Style Kung Fu, Karate, Mui Tai, Tai Chi, and Hapkido,; currently hold the rank of First Dan black belt. Training in fencing with both epee and saber. Martial Arts Instructor of the Youn Wha system.

Contact this candidate