C. Douglas Sedlak Boca Raton, FL 33432 561-702-1858 IntegrityAM@aol.com Public Profile: http://www.linkedin.

com/pub/c-douglas-sedlak-rfc/3a/3b2/b45

Objective As a FINRA Series 24 General Securities Principal I've successfully managed Registered Investment Advisor programs and Office of Supervisory Jurisdiction (OSJ) activities and have a strong understanding of the industry's rigorous regulatory environment. The Managing Principal position requires a unique mix of sales, leadership, management and consulting abilities. I have built successful institutional and retail Retirement Planning, Investment Advice, and Field Sales teams. I am an experienced Registered Financial Consultant (RFC) practitioner, so I understand consultants and how to build systems to help them sell effectively, as well as how to relate to prospective clients of all walks of life and income levels with multiple and varied goals and objectives. I am a highly accomplished and results-driven financial executive with over 30 years of successful new business development, competitive market-share expansion, and business leadership development. My experience has enabled me to leverage finely-honed interpersonal and time management skills to successfully manage accounts and increase market value, thereby achieving corporate as well as clients objectives. I am an astute communicator and presenter, adept at establishing rewarding relationships. I would now like to channel my experience and energies in serving a new business venture. I have a combination of marketing, operations and technical expertise, along with demonstrated sales management success. I am willing and enthused to accept new responsibilities and challenges as well as learn new skills. I can define any given situation, analyze data appropriately, present suitable recommendations and monitor the results according to the expressed objectives. Senior Compliance Officer Skills In addition to the customary technology skills of Microsoft Windows Platforms and Microsoft Office, including Word, Excel and PowerPoint, I also have demonstrated skills to: Ensure acquiescence with compliance standards and regulatory requirements. Identify compliance risks from every business line and manage them by providing training, advice, testing and monitoring. Carry out compliance planning for every business line.

-2Developed and updated inventory of regulations, rules, practices and guidelines for Florida, Alabama and Mississippi operations. Presented the firm in communication and interaction with regulatory bodies. Held compliance training and responsible for updating employees and line managers on compliance related matters. Review and monitored internal procedures and practices to provide compliance with group and regulatory requirements. Make sure that systems and Anti-Money Laundering (AML) processes meet the requirements of regulatory agencies. Implemented specific measurements and monitored business activities as necessary. Carry out ad hoc projects and prepared period reports to management.

Work History Integrity Asset Management Boca Raton, FL, United States January 2009 - Present Financial Consultant / Managing Director Smart Money Management Group Boca Raton, FL, United States March 2000 - December 2008 Managing Director

American Express Financial Advisors Boca Raton, FL, United States June 1993 - February 2000 District Manager Mobile, AL, United States June 1986 - May 1993 Division Vice President / Managing Principal Pittsburgh, PA Financial Advisor May 1980 - June 1986

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Greenville Hospital Greenville, PA, United States Jun 1973 - Jan 1980 Director, Heart & Lung Center West Penn Hospital Pittsburgh, PA, United States May 1971 - Jun 1973 Cardiopulmonary Technologist

Education Int'l. Ass'n. of Registered Financial Consultants Boca Raton, FL, United States Feb 2004 - Jan 2005 RFC Designation, Estate Preservation College for Financial Planning Pittsburgh, PA, United States Sep 1984 - Sep 1986 CFP designation, Financial Planning Washington & Jefferson College Washington, PA Aug 1967 - May 1971 BA, Psychology

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