Current by tangshuming


									Ronald Eugene Burkhart

           Financial executive with 30+ years industry experience
           20 years successful management, sales and marketing experience
           Offshore trading and corporate account formation experience
           Effective team builder
           Experienced trainer
           Proactive
           Effective communicator who can express and present ideas to individuals and groups, both in person and in writing
           Series 7, 3, 4, 24, 8, 63 Licensed
           State Registrations: Mass Registered

COMMERCIAL TRUCK DRIVER_______________________________________________________________April 2007 to Present

Owner trucking operation.

WATERMARK FINANCIAL SERVICES, INC.___________________________________________________May 2006 – April 2007

Compliance Officer
           Anti-Money Laundering
           New Account approval
           Trade blotter review and approval
                Periodic check of investments bought vs. stated investment objectives
                Security concentrations
                Excessive transactions
           Licensing and registration
                Registered Rep licensing/renewals
                Continuing Education
                B/D state registrations/renewals
                Branch office registration
           Approve advertising
                Radio
                Television
                Print
           Approve seminar content
           Hire, Train, and Supervise branch offices
                Amherst, New York
                Asheville, North Carolina
                Kennebunk, Maine

M-One Financial Services
      Branch Manager
          Staffing
          Marketing
          Manage Insurance Division
          Investment committee
          Compliance
COMMERCIAL TRUCK DRIVER_______________________________________________________________October 2005 – May 2006

Owner trucking operation.

AOS, INC_____________________________________________________________________________________April 2005 – October 2005

           Compliance
           Anti Money Laundering Coordinator
           Operations Manager
           OSJ Supervisor
           General Securities Principal
           Registered Options Principal
           Risk Management


           Review and approval all trading activity in the retail division
           Process all money disbursement requests in retail and institutional division with special attention to AML requirements
           Operate Review and Release terminal, approve all orders stopped for review by our internal business rules
           Review Direct Access trading platform for firm exposure, take appropriate action when the firm is at risk
           Review all margin accounts, notify clients of valid Initial and Maintenance calls, take appropriate action when firms’ capital is at risk
           Review all monies due the firm, notify clients requiring additional funds deposits, take appropriate action when firms’ capital is at risk

COMMERCIAL TRUCK DRIVER_______________________________________________________________August 2002 – April 2005

Owner trucking operation.

ACUMENT INTERNATIONAL___________________________________________________________________May 2000 – August 2002

Managing Director

          Offshore product development, sales, marketing, online trading systems development, clearing firm and client relationship management
          Managed the following departments; trading, operations, new accounts, legal, and compliance departments
          Developed and managed online Internet trading system (Level 1)
          Developed and managed online Internet Direct Access trading system (Level 2)
          Selected international products and services
                Hedge Funds and offshore Mutual Funds
                Wrap account and managed money programs
                Signed investment product sales agreements
          Anti Money Laundering program coordinator
          Marketed online systems worldwide to target markets
          Attracted $18 million in managed money, one major Central American bank, one major London-based bank trading operation, six multi-
           million dollar middle eastern accounts through two reps recruited from Solomon, Smith Barney
          Operated new accounts, trading, operations and compliance departments without any NASD disciplinary actions, NASD audit exceptions
           or trading errors that resulted in net losses

EMMETT A. LARKIN COMPANY, INC._____________________________________________________________May 1999 – May 2000

Vice President, Electronic Trading Products
          Developed and managed online trading system
                Increased Internet order flow 900%
          Developed automation for call-in trading desk
          Training
            Series 7 program for interns and new hires
            Trained trading staff in new procedures related to automation and Internet products
            Trained all newly contracted registered reps in system operation and general policies and procedures
MIDWEST DISCOUNT BROKERS, INC.________________________________________________________December 1997 – May 1999

Vice President, Branch Development
       Coordinated conversion of independently owned offices to company stores and opened new offices
           On-site Coordinator in multiple locations
           Location assessment and relocation
           Retain/terminate current staff decisions
         Hire and train new branch managers and registered reps

EMMETT A. LARKIN COMPANY, INC.____________________________________________________February 1997 – December 1997

Vice President, Internet Development
       Selected, developed, and implemented technology necessary to effectively run an online Internet brokerage division
       Responsible for creation of marketing materials and development/oversight of trading policies and procedures

MIDWEST DISCOUNT BROKERS, INC._________________________________________________________April 1996 – January 1997

Compliance Director
       Developed and published Sales, Supervisory, and Branch Operations Manuals
       Firm Risk Manager and Retail Credit Manager
       Regulatory oversight for NASD Market Making activity
       Branch audits
       Responsible for firm compliance with NASD/SRO Rules and Regulations

CONSULTING__________________________________________________________________________________July 1995 – March 1996

       Formed new broker/dealer by Form BD
       Sale of broker/dealer
       Merger of two broker/dealers
       Coordinated account conversions, market-making activities, and sales force orientation
       Liaison between broker/dealers and clearing firms
       Training coordinator for mergers and new hires

SABBATICAL_______________________________________________________________________________September 1994 – July 1995

       World cruise on private yacht

MID-PACIFIC DISCOUNT BROKERS__________________________________________________________October 1988 – August 1994

Branch Manager
       New office start-up
       Independent owner/operator of this retail discount brokerage office
CHARLES SCHWAB____________________________________________________________________________August 1983 – July 1988

Branch Manager, Vice President
                Newport Beach, California
                Century City, California
                Honolulu, Hawaii
                Hong Kong
           Two-Time National Sales Award Winner
           Director, Segmented Markets
                Start-up business units:
                     Private Banking
                     Schwab 500
                     Central Options Trading
                     Financial Advisor Marketplace
                     VIP Program
                Responsible for development and role-out of new businesses and enhanced service modules
                     Branch and home office integration and training

MERRILL LYNCH ______________________________________________________________________September 1974 – August 1983

Vice President
           Branch Operations – Richmond, Virginia
           Branch Operations Manager – Louisville, Kentucky and 5 Associate offices
                Managed 6-office complex supporting 100 brokers
                Managed staff of 30 in 6 locations
           Conversion Manager – Clearing Division - New York, New York
           Pacific Coast Stock Exchange Options and Equities Floor Manager – San Francisco and Los Angeles, California
           Regional Settlement Manager – Clearing Division - San Francisco, California
           Office Liaison Manager – Regional Operations Center - Washington D.C.
                Straight-line responsibility for operations staff in 35 offices located in seven states
                Duties included hiring/firing, training and day-to-day operations oversight
                Managed Training Department for both branch and home office personnel


          Glendale City College –Economics
          Los Angeles Valley State – Electronics Engineering

U.S. Navy 1969 – 1972

           One tour Mediterranean (Anti Submarine Warfare)
           One tour Vietnam (Crypto Technician/Intelligence)

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