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Justin A. Miller, Esq. Temple Terrace, FL ***** 813-***-****

adi059@r.postjobfree.com

Legal/Financial Professional www.linkedin.com/in/justin-miller-esq-a203971/ Summary

Dynamic and resourceful professional with 15+ years of combined experience in legal, financial analysis, product development, and project management. Demonstrated history in maximizing client engagement, leading functional teams, and optimizing equity capital markets. Proven track record of complying with regulatory requirements and companies’ standards and procedures to accomplish uniformity across organization’s legal framework. Team player with strong interpersonal communication skills along with an ability to develop relationships with stakeholders. Areas of Expertise

Financial Stewardship

Client Service & Management

Product Implementation

Compliance & Regulations

Profit & Loss Accountability

Customer Satisfaction

Equity Trading

Organizational Skills

Team Leadership

Education & Credentials

Juris Doctor cum laude (GPA 3.36), 2020

Courses: Compliance Regulation, Securities Registrations, Securities Exchange Act of 1933 and 1934, Investment Advisers Act of 1940, Security offerings Reg. A, Reg. D, Intrastate, and Rule 144 transactions Western Michigan University Thomas M. Cooley Law School Dean’s list / Honor Roll in Each Semester

Bachelor of Science, Criminology

Florida State University Tallahassee, FL

Licenses & Certificates

Passed Multistate Bar Examination, Feb 2020

Passed Florida Bar, Nov 2020, Member in Good Standing with The Florida Bar FINRA Series 7, 55, 66 Clean U4

Career Highlights

Western Michigan University Thomas M. Cooley Law School, Tampa, FL 2017 to 2020 Law Student

Law course mastery, including Securities Regulation focusing on the Securities Exchange Act of 1933 and 1934, Investment Advisors Act of 1940, security offerings Reg. A, Reg. D, Intrastate, and Rule 144 transactions, as well as Compliance and Regulations.

Completed Juris Doctor degree with GPA of 3.36.

Passed Multistate Bar Examination First and Only Attempt in Feb 2020.

Passed Florida Bar in Nov 2020 First Attempt and fully licensed to practice law. Florida Bar # 1025572 2

CALTON AND ASSOCIATES, Tampa, FL 2018

Compliance Extern

Assured compliance with federal and state regulations through due diligence 0f auditing firm personnel files and communicating with other divisions. Leveraged proficiency in Anti-Money Laundering, Know Your Client, USA Patriot Act, and Bank Secrecy Act. Accountable for SEC, FINRA, and MSRB Rules, Arbitration, and dispute resolution/settlements.

Self-assuredly completed large-scale tasks by demonstrating broad financial knowledge and experience. RAYMOND JAMES FINANCIAL, St. Petersburg, FL 2015 to 2016 Retail Agency Trader - Hedge Fund Specialist - Equities Promoted portfolio trading of large block trades as well as baskets of major buy side institutions by skillfully using multiple OMS trading tools. Steered contributions in private securities transactions and retail and trading analysis. Conducted reconciliation of the firm’s positional inventory accounts, while ensuring accuracy.

Implemented NYSE listed and NASDAQ securities for 6800 advisors in the United States, Canada, and overseas with 930 billion AUM.

Administered equity execution for Eagle Asset Management advisory for RJFS active portfolio management with $30 billion AUM.

JHS CAPITAL ADVISORS, Tampa, FL 2010 to 2015

Institutional Sales - Agency Block Trading - Retail Brokerage Steered a small high-achieving team and coordinated with other departments for smooth running of business operations; reported to COO. Delivered latest information to portfolio and money managers about actively traded stocks. Reviewed and assessed best execution statistics 605/606 in order to drive efficiency and price improvement. Drove firm-wide technology programs for evaluating, selecting, and executing solutions following internal compliance.

Introduced an order management system Valdi for a 4.1 billion AUM broker dealer aimed for supporting in- house trading that supported generating $38 million in yearly revenue.

Executed a straight through trade processing method for several buy side institutions to resolve issues from new account initiation to execution and settlement; directly generated $250K of yearly revenue.

Controlled routing and execution for a sales force of 150+ registered reps in stocks, UIT’s, Mutual Funds, ETF’s, Closed End Funds, and Syndicate Offerings.

GUNNALLEN FINANCIAL, Tampa, FL 2002 to 2010

Institutional Sales - Agency Block Trading - Retail Brokerage Directed routine operations of the firm through four conversions of clearing brokers including National Financial, First Clearing, Ridge Clearing and Outsourcing, and Pershing LLC. Delivered valuable training and coaching to all trading support associates in achieving shared goals and organizational commitments. Developed daily, monthly, and quarterly reviews of transaction reporting, order handling, Best Execution, and OATS regulations. Rendered services as a key person to contact for all communication with SROs. Led the agency trading and trade support.

Established, maintained, and expanded Trading Supervisory Procedures and reviews to evidence as well as ensured compliance with respect to regulations.

Created institutional equity trading desk and grew the client portfolio from 0 to 40 buy side clients.

Maintained relationships with brokers, clearing firms, financial representatives, and operations. Technical Proficiencies - Valdi, Bloomberg, Omgeo Alert, OASYS, OTCQB, Tradeware, Thomson Reuters, FIX protocol, Instinet, Protegent, Multiple Dealer Algorithms and Dark Pool Liquidity Sources, MS Office