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PHONE NUMBER AVAILABLE EMAIL AVAILABLEExecutive management, 38 years: financial services, insurance, regulatory compliance, sales organizations.
Consultant on regulations of the SEC, FINRA, BSA, OFAC, AML and KYC protocols. Advise on PPMs, VC and PE. President of firm that issued & funded 35 private offerings. Securities Principal and Sales Manager of Broker-Dealer. VP, National Sales Manager of an insurance holding company over sales and operations in 25 states. Held FINRA Series-7, 24, 63, 65 (1998-2004). Current certified FINRA Arbitrator (A61005). Member of MENSA (high IQ society).PROFESSIONAL EXPERIENCEConsultant, Regulatory Compliance: self-employed, Southlake, TX. Feb 2016 Present
Consultant on compliance issues re: financial services, SEC, FINRA, OFAC, BSA regulations, KYC and AML protocols.
Advisement on best practices, best interests, cycle exams, records, communications, client complaints and arbitration. Portfolio suitability: securities, mutual funds, bonds, annuities, PE & DPPs. I prepare PPMs and do SEC & state filings. Clients: (1) Broker-Dealers, RIAs, PPMs (DPP), insurance companies. (2) International funding and/or development groups. (3) Sovereign debt and monetization procedures, joint ventures, and private funding of public & private projects. (4) Public-Private Partnerships (PPPs) and NGOs on policies, licenses and sanctions of the Treasury/OFAC & State Dept.
President/Owner: MIESEN DEVELOPMENT CORP, Hurst, TX. Mar 2002 Dec 2019 I founded and managed this financial firm, as an "issuer" of DDP private securities. (FINRA licenses were not required.)
The firm issued and funded 35 private placements under Reg -D, and raised multi-millions for business and development projects. Most were for the development of oil and gas in Texas and Louisiana. I managed the offerings from project selection, due diligence, co-preparation of the PPM, sales and client relations. I did compliance oversight, including AML and KYC protocols, and regulatory filings/reporting to the SEC and the states. *There were no consumer complaints, or any violations of best practices or best interest policies from any regulators.Securities Principal and Sales Manager: AMEREST SECURITIES, INC, Dallas, TX Oct 1998 Mar 2002
Securities Principal of Broker-Dealer: Compliance oversight of registered rep s. and public communications, KYC, AML. Held FINRA Series 7, 24, 63, 65 licenses.
Sales Manager: I hired, trained, managed sales and communications, suitability qualifications, records & reporting. In my first year, funding volume and velocity of offerings quadrupled. -I resigned to start my private placement firm.Financial Adviser: MERRILL LYNCH, INC., Irving, TX Apr 1997 Dec 1997 Financial Adviser for sales of securities, mutual funds, insurance, annuities, and financial and estate planning.
Held FINRA Series 7, 63, 65 and Group I and IV insurance licenses. Business and private clients, managed accounts, and provided broad based financial advisement.President/Owner: FINANCIAL PARTNERS, INC, Grapevine, TX Sept 1996 Oct 1998 Consulted on business projects, joint ventures, and private venture capital. (Inactive while with Merrill Lynch, Inc.) Due diligence and financial analysis of projects, companies, debt liquidation and utilization of underperforming assets.VP, National Sales Manager: AIA, INC. June 1991 - Aug 1996 Managed all aspects of insurance sales, marketing, and regulatory compliance in 25 states.
Trained insurance agents and managers, and conducted product seminars for career agents and brokers.
Analyzed and selected the insurers and products, and co-designed plans for sponsoring groups and markets.VP, Sales Training and Marketing: AIA, INC. Aug 1990 June 1991 Established an insurance sales training department. Conducted training seminars and prepared staff to do them. Revised sales presentations and marketing materials, and computer-based presentations of health and life insurance. Incorporated compliance protocols from state insurance regulations for career agents and brokers in 25 states. Career agency production increased by over 200% within one year and broker production also increased.
Division Sales Director: AIA, INC. Aug 1981 Aug 1990 Sales and management of health and life insurance agents. *Started as Agent and was promoted 3X in three years. Recruited and trained agents and managers. * My Division was always #1 or 2 of a dozen divisions in the company.Marketing Analyst: MARCEPT CONSULTING and RESEARCH-Boise, ID Feb 1980 - Aug 1981 Responsible for all aspects of market research, data control, statistical analysis, written reports, and presentations.
Clients included banks, marketers, and manufacturers.
Staff Supervisor: EDGEMEADE OF IDAHO, Mountain Home, ID June 1976 Dec 1979 Responsible for all aspects of supervising staff of approximately 16-20 employees for population of 80-100 adolescent students at a residential treatment facility.
Coordinated counseling teams and specific treatment plans for behavior modification treatment of emotionally disturbed and high risk teens. I wrote reports on both staff and students. I hired, trained and supervised staff.
PROFESSIONAL SKILLS: Executive ManagementInsurance, financial services, venture capital, private placements, regulatory and compliance matters. Financial ServicesSecurities Principal of registered B-D for 3.5 years. President of private financial firm 17 years.
Regulatory-Compliance,Consultant on regulations of SEC, FINRA and OFAC.
Strategic AdvisementDue diligence, financial analysis, private placements, venture capital, project design and management. Venture CapitalPrepare PPM for private offerings (Reg. D or A) and do SEC and state filings. (My firm issued and funded 33 PPMs.) Computer SkillsMicrosoft Office: Word, Excel, Power Point. Outlook, search engines, social media.LICENSES & CERTIFICATIONS: FINRA Certified Arbitrator: A61005. July 2016 - Current FINRA Series 7, 24, 63, 65 securities licenses, CRD 2881130. (expired 3/2004, will requalify as needed) Insurance Group I & IV, Texas. (expired 1/1998) -I have held life and health insurance licenses in many states.
EDUCATIONUniversity of Idaho, Moscow, ID Graduated 6/1976Bachelor of Arts: Psychology and PhilosophyBoise State University, Boise, ID 1976-1979Post-Grad studies: Psychology, Philosophy & Statistics.PERSONAL INTERESTS:Business, finance, global issues & economics, fitness/sports, psychology, philosophy/religion, humanitarian.
American MENSA Ltd. Member #1063994 (since 7/1981) |
