LynnBjorkman

LYNN BJORKMAN

Managing Consultant since 2002
Extensive senior level experience in Securities Compliance and Operations. Established skills in compliance assessment and compliance program development to meet regulatory principles. Exceptional communicator and trainer with proven ability to explain the significant relationship between daily business disciplines and regulatory compliance requirements. Reputation as a well-organized professional with the ability to set clear priorities and resolve conflict in difficult situations. Previously passed exams for Series 7, 63, 65 sales licenses and Series 24 and 53 principal licenses.


MARQUETTE BANK, N.A. | Golden Valley, MN | 1997 - 2002
(Acquired by Wells Fargo in 2002.)
Vice President and MFC Nondeposit Compliance Officer

FBS INVESTMENT SERVICES, INC. |  Minneapolis, MN | 1992 - 1996
(Currently known as U.S. Bancorp Investments)
Vice President and Director of Compliance (1994 - 1996)
Assistant Vice President and Compliance Officer (1992 - 1994)

FIRST BANK NATIONAL ASSOCIATION | Minneapolis, MN |1986 - 1992
Client Services Manager for FBS Capital Markets (1988 - 1992)
Operations Analyst for FBS Capital Markets (1986 - 1988)

FIRSTBANK OF WEST ARVADA | Arvada, CO | 1983 - 1986
Assistant Vice President


SHARON ROESKE

Managing Consultant since 2002
Broad supervisory and oversight experience in Compliance and Securities Operations.  Extensive experience with FINRA and SEC regulatory matters, rule implementation and operations projects, complemented by thorough knowledge of broker dealer financial/accounting rules, financial services product lines and back-office functions.  Proven abilities identifying issues and creating solutions and corrective measures, based on industry best practices.  Passed exams and maintains Series 7, 63, 65 sales licenses and Series 4, 24, 27 and 53 principal licenses.
 

INDEPENDENT CONTRACTOR | Minneapolis, MN | 2000 - 2002
Self-Employed, Broker-Dealer Consulting

FINTEGRA FINANCIAL SOLUTIONS | Minneapolis, MN |1998 - 2000
Trading and Operations Manager

U.S. BANCORP INVESTMENTS | Minneapolis, MN | 1989 - 1995
(formerly FBS Investment Services, Inc.)
Equity Trading Manager

FBS INVESTMENT SERVICES, INC. | Minneapolis, MN | 1989 - 1995
Equity Operations Manager (1993 - 1995)
Compliance Officer (1989 - 1993)

FBS BROKERAGE SERVICES | Minneapolis, MN | 1985 - 1989
Discount Brokerage Supervisor


KateShoemaker

KATE SHOEMAKER

Consultant since 2008
Applied compliance and business expertise in the financial services industry developed through supervisory roles and responsibilities in brokerage and investment advisory firms.  Strong understanding of practical risk management strategies and internal exception reporting.  Demonstrated competence providing guidance in regulatory exam preparation.  Previously passed exams for Series 7, 11, 63 sales licenses and Series 4 and 24 principal licenses.

AMERIPRISE FINANCIAL | Minneapolis, MN | 1998 - 2001
Compliance Registered Option Principal/Brokerage Compliance

AMERICAN EXPRESS | Minneapolis, MN | 1997-1998
Business Analyst

AMERICAN EXPRESS FINANCIAL ADVISORS | Minneapolis, MN | 1995-1997
Securities Trading Group Associate

ALL-TECH INVESTMENT GROUP | Minneapolis, MN | 1993-1995
General Securities Principal