Legal Specialist and Manager of Quarles & Brady’s Broker-Dealer and Investment Adviser Services - Since 1985, duties have focused on broker-dealer and investment adviser formation, licensing and compliance.  Specific duties include forming corporations and limited liability companies; licensing firms as broker-dealers and investment advisers with the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority. and with all 50 states; making on-line application and amendment filings on the Central Registration Depository and the Investment Adviser Registration Depository systems for broker-dealers, investment advisers and their representatives; providing day-to-day business operation and compliance advice with respect to federal, state and self-regulatory agency securities statutes and rules; preparation of agreements, forms and procedures for broker-dealers and investment advisers designed to comply with client business plans and federal and state laws; consulting on adequacy of supervisory procedures and systems; conducting records examinations and procedure forensic testing as requested by broker-dealer and investment adviser clients; and assisting with responses to regulator inquiries, customer complaints, civil suits and arbitrations.

Administrator - Licensing and Regulation Division, Office of the Wisconsin Commissioner of Securities, 1982-1985.  Committee assignments with the Uniform Examinations and Investment Adviser Subcommittees of the North American Securities Administrators Association, Inc.

Examiner - Licensing and Regulation Division, Office of the Wisconsin Commissioner of Securities, 1974-1982.