SCOTT GILLESPIE

sgillespie1@comcast.net

Denver, Colorado

www.linkedin.com/in/ScottTGillespie

PROFILE
Senior financial management and technology solution provider executive with many years of success
fulfilling line management duties and delivering technology enabled business solutions always exceeding
client expectations following service as a CPA and Audit Manager with a Big-4 accounting firm

Financial management- Chief Financial Officer responsible for accounting, treasury, reporting,
administration and cost containment

Technology product and platform management- Designed and fulfilled enterprise software
product and service offerings leveraging underlying technology platforms

Operations management- Improved quality and throughput while reducing expenses as Chief
Operating Officer while often holding executive responsibility for regulatory compliance functions

Business development and relationship management- Proven results at designing business

solutions, closing new business, servicing clients and growing the enterprise

EXPERIENCE
NEIDIGER, TUCKER, BRUNER INC.
2012 - Current
FINRA member broker-dealer and SEC Registered Investment Advisor full-service wealth management
and investment banking firm
Senior Vice President and Chief Financial Officer
Financial Principal with responsibility for financial and administrative functions, and regulatory and
management reporting

Installed new accounting and financial reporting system by applying technology implementation
experience

Improved control and efficiency by reengineering the accounting processes and workflows

Benchmarked and improved benefit programs so employees feel company loyalty to them

Key advisor to the Board of Directors on both financial and general business matters

FETTER LOGIC, INC.

2004 - 2015
Software-as-a-Service (SaaS) provider with technology products ranging from business processing
solutions to compensation and regulatory compliance systems, and Big Data business intelligence
reporting. The company was sold in September 2015
Executive Vice President
Responsibilities included new product development and custom software solutions combined with new
business acquisition and relationship management

Contributed to 400% revenue growth by owning the full lifecycle of new business acquisition,
solution fulfillment and client retention

Conceived, designed and delivered numerous enterprise software solutions including Business
Intelligence and risk assessment reporting, and financial system data integration solutions

Key-accounts relationship manager and fulfillment consultant assuring solutions continually meet
the business needs and building strong loyalty with these multi-line financial institutions

TRUST COMPANY OF AMERICA

1999 - 2004
FDIC insured trust company providing custodial and administrative services to SEC registered turnkey
asset management providers (TAMPs) and to qualified retirement accounts
Senior Vice President (and President of the affiliated securities broker-dealer)
Senior executive responsible for all Registered Investment Advisor related services. Expanded the
platform and service offering to support 200% asset growth realized over a three year period
Director of Business Development- Responsible for new product development, sales and promotion
strategies, relationship management and revenue enhancement

Designed and fulfilled a new internet portal so investor clients could easily monitor their accounts,
view performance measurement information and submit administrative requests

Developed the sales process and pricing models for regional sales personnel to effectively qualify
prospects and move them to closure in a systematic, repeatable manner

Structured SLA service packages for wealth management firms and performed key-accounts
relationship management so client firms were assured of their continuing satisfaction

Developed UMA and open-architecture 401(k) custody and trading platforms for TAMP Advisors
to efficiently manage investor portfolios and participant sub-accounts

Chief Operations Officer and Senior Trust Officer- Responsible for the operating activities of the trust
company and affiliated broker-dealer including operations and customer service, business planning, new
business conversions and securities trading before assuming the business development duties

Dramatically improved client retention by restructuring the operations organization into service
teams, implementing service and quality standards, assigning ownership and measuring results

Automated the mutual fund trading processes increasing efficiency while reducing the error rate,
and enabling business growth without an increase in headcount

Responsible for both securities and banking regulatory compliance maintaining a clean regulatory
record

Member of the Investment Committee directing a substantial fixed income portfolio

D. E. FREY & COMPANY, INC.

1995 - 1999
Regional wealth management firm focused on recruiting breakaway wirehouse advisors. Successfully
converted and serviced numerous wirehouse advisor teams making the firm the leader in the space
Senior Vice President and Chief Operating Officer
Responsible for all operating activities including trading, operations, information technology and field
support. Actively involved with the recruiting, compliance and financial management functions in addition
to those under my direct supervision

Nurtured the unique culture required to service wirehouse advisors. Achieved this by listening and
responding to the advisors needs, and developing an organization dedicated to those needs

Grew the depth of talent and capabilities of the operating departments during a period of 200%
revenue growth while holding home-office headcount growth to 100%

Converted the fixed income and equities trading desks from cost centers to profit centers while
simultaneously increasing the confidence of producing advisors in our execution capabilities

RESOURCES TRUST COMPANY (An AIG-SunAmerica company), DRAKE CAPITAL SECURITIES and
FIRST WILSHIRE SECURITIES MANAGEMENT, INC
Executive officer in various financial and operational capacities at these retail wealth management, asset
custody and capital markets firms

DELOITTE AND TOUCHE (Formerly Touche Ross & Co.)

Audit Manager
Certified Public Accountant (CPA)

Financial services, manufacturing and systems audit specialist

Promoted to management one year ahead of peer group (ranked first in a class of 100) due to
demonstrated leadership and strong client relationship abilities

EDUCATION and LICENSES

MBA, Finance and Investments, University of Southern California

Rockwell International Fellowship recipient

BS, Finance and Accounting, University of Southern California

Magna Cum Laude honors

Beta Gamma Sigma national honorary business society

Certified Public Accountant, California, inactive

Registered Securities Principal and other securities licenses (Series 7, 63, 24, 27, 4)

OTHER
English as a Second Language instructor
Mercy Ships software trainer, Guinea, West Africa
Southeast Christian Church spiritual formation ministry partner