tony maxwell

* SUNTRUST CAPITAL MARKETS/ SUNTRUST SECURITIES, Atlanta, Georgia 3/00 – 6/03 * Anti-Money Laundering Compliance Officer/ Assistant Vice President 4/02 – 6/03 * Developed an anti-money laundering and anti-terrorist finance detection program for SunTrust key subsidiaries (SunTrust Capital Markets, SunTrust Securities, Private Client Services and Trust). * Worked with subsidiary contacts to interpret Bank Secrecy Act (BSA) law and related regulations to ensure full compliance. * Assisted with training key subsidiary personnel. * Institutional Compliance Analyst/ Corporate Officer 3/00 – 4/02 * Monitored and maintained sequential blotter reviews for commission mark-ups. * Conducted on-site Audit examinations for SunTrust Capital Markets Debt Capital Markets Branch offices. * Conducted annual Compliance Seminars for various departments within the Corporate Investment Banking Division. * Monitored firm element Continuing Education for over two hundred registered representatives.

* FSC SECURITIES CORPORATION, Atlanta, Georgia 1/99 – 3/00 * Compliance Officer * Governed option agreement and approval forms for the trading of options in client accounts * Managed and analyzed requests to purchase designated securities for customer portfolios. * Responsible for the training of new employees. * Accessed and reviewed data from Exception Reports on Registered Representative activity and submitted findings to senior management. * Accountable for 144 filings for restricted stock.

* WACHOVIA INVESTMENTS, Atlanta, Georgia 5/97 – 12/98 * Investment Counselor 1/98 – 12/98 * Directed staff meetings and trained branch personnel on effective referral techniques. * Met with established and potential customers to ascertain and define their investment goals, and made recommendations. * Investment Counselor Associate 5/97 – 12/97 * Scheduled appointments and met with established and potential customers to help determine their investment goals and made recommendations.

* DREYFUS SERVICE CORPORATION/MELLON BANK, Uniondale, New York 7/89 – 4/97 * Investment Representative 1/90 – 4/97 * Specialized in developing portfolios through mutual fund sales. * Consistently met and exceeded all quotas set for the department. * Senior Account Executive 7/89 – 12/89 * Serviced existing shareholder accounts and determined suitability of investment vehicles with respect to customers’ financial objectives. * Collaborated in the development of account representatives by monitoring and providing feedback on customer calls.

* Primerica's roots date back to 1977 when the company embarked on a revolutionary crusade to transform the life insurance industry. Primerica's "Buy Term and Invest the Difference" philosophy encourages middle-income families to purchase affordable term life insurance so they can have more money to invest in their family's future. Today, Primerica has expanded its crusade to address the number one financial disease facing families today: debt. Primerica offers solutions to help families eliminate crippling debt from their household finances and save more of their hard-earned money for the future.Primerica * Serves 6 million clients in the U.S., Canada, and Puerto Rico * More than 100,000 licensed representatives * More than 24,000 licensed mutual fund representatives — the largest sales force in North America * Securities clients have nearly $25 billion in assets under management through Primerica * Placed in force more than $90 billion in life insurance in 2008 * An average of $2.6 million in death claim benefits is paid every day

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