Shane Cunningham

Assumed additional role as President and CEO in 2016, overseeing broker dealer's operations, ensuring effective supervision of the registered principals and representatives, and reviewing lines of business and branch activities.

Directed NRC (Non-Resident Clients) business, overseeing wealth management, including retail, advisory, and institutional. Managed offshore sales team in promotion of FT offshore products, domestic funds, and SMAs over NRC US market, Canada, and Caribbean Islands. • Led NRC team in ranking top 5 in overall AUM and gross sales as of June 2022; captured billions in gross sales and AUM FY21 and FY22 • Built profitable offshore business and revenue generator with more than 50% operating margins. • Piloted leads project to identify and prioritize the right clients, leading NRC teams to achieve 75% closure rate with 96% of sales coming from FY22 leads. • Hired, trained and mentored team of 9 external and internal wholesalers, creating a sustainable client resource and fostering a culture of growth and professional advancement. • Improved sales efficiency by driving process for data integrity, ensuring branch and rep transparency as well as gross sales and AUM penetration rates for funds and SMAs. • Integrated multi-billion dollar offshore Legg Mason assets into NRC region post acquisition; streamlined and restructured territories and combined two business units into one sales team to penetrate market. • Diversified existing offshore mutual fund business the last few years with 20% of overall gross sales in SMAs. • Established milestones for 50+ webinars, roadshows, events, and PM roadshows throughout region FY22.

Managed marketing and sales of Franklin Templeton Offshore funds and alternative products in the Western United States, Texas, and Mexico. Built and maintained key relationships with financial consultants and advisors through seminars, presentations, and ~20 onsite meetings per week. • Catalyzed West Coast region growth from minimal AUM to over $1B in AUM by creating and implementing business plan to raise assets and turn non-producing territory into massive profit center. • Received “Wholesaler of the Year Award” 2003, 2004, and 2006 for consistently exceeding sales goals. • Hired, trained, and mentored internal wholesaler, providing ongoing direction to deliver top-level performance.

• Co-managed New York home office relationships and worked with all major brokerage houses, banks, and many large independent firms. • Promoted Scudder Offshore funds in Florida, Central America, and South America. • Marketed the Scudder Global Offshore funds to the Chilean pension plans. • Additional experience as Regional Sales Representative & International Equity Portfolio Trader, Zurich Scudder Investments and Global Securities Services, Corporate Actions Administrator , Bankers Trust Corporation