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<p class="MsoNormal" style="font-weight: bold; margin: 0in 0in 0pt; text-align: center;" align="center"><span style="font-family: verdana,geneva;"><span style="font-size: small;"><span style="color: #000099;"><span style="text-decoration: underline;">Independent Qualified Fiduciary Expert </span></span></span></span></p>
<p class="MsoNormal" style="MARGIN: 0in 0in 0pt; TEXT-ALIGN: center" align="center"><span style="FONT-SIZE: 7.5pt"><span style="color: #000099; font-size: x-small;"><span style="font-size: small;"><span style="font-family: verdana,geneva;">Audits | Training | Litigation Consultant | Expert Witness</span></span><br /></span></span></p>
<p class="MsoNormal" style="font-weight: bold; margin: 0in 0in 0pt; text-align: center;" align="center"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><span style="color: #000099;">practice related to issues of Suitability, Supervision, Fiduciary duty, Compensation, Valuation & Employment</span></span></span></p>
<p class="MsoNormal" style="MARGIN: 0in 0in 0pt; TEXT-ALIGN: center" align="center"> </p>
<p class="MsoNormal" style="margin: 0in 0in 0pt; text-align: center;" align="center"><span style="text-decoration: underline;"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><strong>History</strong></span></span></span></p>
<ul>
<li class="MsoNormal" style="margin: 0in 0in 0pt;"><span style="font-family: verdana,geneva;"><span style="font-size: x-small;"><span style="background: none repeat scroll 0% 50% white;">Chris McConnell & Associates was founded in 2003. </span><span style="background: none repeat scroll 0% 50% white;">Believed to be among the first independent, consulting-only practices devoted to objective audits, training and analysis of fiduciary performance. </span></span><span style="font-size: 7.5pt; background: none repeat scroll 0% 50% white;"><span style="font-size: x-small;">Mr. McConnell became a designated ACCREDITED INVESTMENT FIDUCIARY AUDITOR in 2003.</span><br /></span></span></li>
<li class="MsoNormal" style="margin: 0in 0in 0pt;"><span style="font-family: verdana,geneva;"><span style="font-size: x-small;"><span style="background: none repeat scroll 0% 50% white;">Over 27 years experience as expert including 19 years in the securities industry. 17 years in management, at two top Wall St. firms in national, regional and branch positions.</span></span><span style="font-size: 7.5pt;"> </span></span></li>
<li class="MsoNormal" style="MARGIN: 0in 0in 0pt"><span style="FONT-SIZE: 7.5pt"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;">Since 1983, Mr McConnell's experience includes supervision of the accounting and compensation areas of a major Wall St securities primary broker dealer private client group. He modeled one of the first principal protection equity investments. He served on the firm's real estate strategy executive committee, developed business models for the firm's margin, stock loan / securities lending areas and developed compliance supervisory reports for customer account reviews. In addition to extensive experience in sales management, supervision and training. Each position or project included extensive interaction with the firm's Information Technology IT areas. </span></span><br /></span></li>
<li class="MsoNormal" style="MARGIN: 0in 0in 0pt"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;">Securities and insurance licenses previously held included Series 3, 4, 7, 8, 9, 63 and 65; California Life Insurance, Long term care and Variable annuities.</span></span> </li>
<li class="MsoNormal" style="MARGIN: 0in 0in 0pt"><span style="FONT-SIZE: 7.5pt; BACKGROUND: white 0% 50%; -moz-background-clip: initial; -moz-background-origin: initial; -moz-background-inline-policy: initial"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;">Mr McConnell brings a unique, unmatched background to select engagements 1) advanced fiduciary AIFA training, 2)actual hands-on major Wall St. broker dealer experience 3) BA in Economics & accounting, 4) MBA, 5) passed the CPA exam taken together help shed light upon the inner dynamics of a financial services firm, investment adviser or securities broker dealer from headquarters level through a branch office to recommendations at the brokers desk. <br /></span></span></span></li>
<li class="MsoNormal" style="MARGIN: 0in 0in 0pt"><span style="FONT-SIZE: 7.5pt; BACKGROUND: white 0% 50%; -moz-background-clip: initial; -moz-background-origin: initial; -moz-background-inline-policy: initial"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;">Informal financial incentives <span style="text-decoration: underline;">in addition to</span> formal compensation arrangements </span></span></span><span style="FONT-SIZE: 7.5pt; BACKGROUND: white 0% 50%; -moz-background-clip: initial; -moz-background-origin: initial; -moz-background-inline-policy: initial"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;">are implicit every step along the way</span></span></span><span style="FONT-SIZE: 7.5pt; BACKGROUND: white 0% 50%; -moz-background-clip: initial; -moz-background-origin: initial; -moz-background-inline-policy: initial"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"> critical </span></span></span><span style="FONT-SIZE: 7.5pt; BACKGROUND: white 0% 50%; -moz-background-clip: initial; -moz-background-origin: initial; -moz-background-inline-policy: initial"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;">to interpreting events.</span></span></span><span style="FONT-SIZE: 7.5pt; BACKGROUND: white 0% 50%; -moz-background-clip: initial; -moz-background-origin: initial; -moz-background-inline-policy: initial"><br /></span></li>
<li class="MsoNormal" style="MARGIN: 0in 0in 0pt"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><span style="background: none repeat scroll 0% 50% white;">His expertise connects public advertising, suitability, supervison, fiduciary duty, if any from account solicitation, new account application, supervisors' account application review and acceptance, agreements, statements, solicited trade analysis, broker's book of business, continuing education, workstation applications and training, compliance, services, fees, commissions in light of regulatory (e.g. State, SEC, FINRA, NYSE) compliance and supervisory policies and procedures.</span></span></span> </li>
<li class="MsoNormal" style="MARGIN: 0in 0in 0pt"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><span style="background: none repeat scroll 0% 50% white;">Compensation, Valuation & Employment areas of Mr McConnell's expertise include:</span> </span></span>
<ul>
<li>
<div class="MsoNormal" style="margin: 0in 0in 0pt;"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><span style="background: none repeat scroll 0% 50% white;">Securities, investment advisor, financial planning industry compensation expert for traders, stock brokers, financial planners, wealth managers, portfolio managers, branch managers, regional managers, product wholesalers. <br /></span></span></span></div>
</li>
<li>
<div class="MsoNormal" style="margin: 0in 0in 0pt;"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><span style="background: none repeat scroll 0% 50% white;">Related areas include Retention awards, Forgiveable loans, Promissory notes, recruiting, and training and Reg SP.<br /></span></span></span></div>
</li>
<li>
<div class="MsoNormal" style="margin: 0in 0in 0pt;"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><span style="background: none repeat scroll 0% 50% white;">Branch manager and regional manager compensation expert.<br /></span></span></span></div>
</li>
<li>
<div class="MsoNormal" style="margin: 0in 0in 0pt;"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><span style="background: none repeat scroll 0% 50% white;">Branch, product and/or business unit (P&L) valuation and analysis, valuation of a broker's book and branch revenues forecasts<br /></span></span></span></div>
</li>
<li>
<div class="MsoNormal" style="margin: 0in 0in 0pt;"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><span style="background: none repeat scroll 0% 50% white;">Investment product marketing, distribution; sales force and market penetration studies. </span></span></span></div>
</li>
</ul>
</li>
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<p class="MsoNormal" style="margin: 0in 0in 0pt; text-align: center;" align="center"><span style="text-decoration: underline;"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><strong>Education, Credentials</strong></span></span></span></p>
<ul type="disc">
<li class="MsoNormal" style="margin: 0in 0in 0pt;"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><span style="background: none repeat scroll 0% 50% white;">ACCREDITED INVESTMENT FIDUCIARY ANALYST (AIFA), Center for Fiduciary Studies, University of Pittsburgh, 2003, 2006</span><span style="background: none repeat scroll 0% 50% white;"> </span></span></span></li>
<li class="MsoNormal" style="MARGIN: 0in 0in 0pt"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><span style="background: none repeat scroll 0% 50% white;">BA, Economics / Accounting option, Rutgers University</span></span></span> </li>
<li class="MsoNormal" style="MARGIN: 0in 0in 0pt"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;">MBA, Pepperdine University</span></span> </li>
<li class="MsoNormal" style="margin: 0in 0in 0pt;"><span style="font-size: x-small;"><span style="font-family: verdana,geneva;"><span style="background: none repeat scroll 0% 50% white;">Successfully passed the CPA exam, New York State Board of Accountancy</span></span></span></li>
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<p class="MsoNormal" style="margin: 0in -0.25in 0pt 42pt; padding-left: 30px; text-align: left;"><span style="FONT-SIZE: 7pt"><span style="font-family: verdana,geneva;"><a href="mailto:info@fiduciaryexpert.com">info@fiduciaryexpert.com</a> or (310) 943 - 6509</span><br /></span></p>
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<p class="MsoNormal" style="MARGIN: 0in -0.25in 0pt 42pt" align="center">Copyright <span style="font-variant: small-caps;">Chris McConnell & associates</span> 2003 - 2011. All rights reserved.</p>
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