This business plan introduces E*Trade Securities – a leading edge discount brokerage firm with a difference. E*Trade’s operations are highly automated in a centralized facility with few operating personnel. The result – highly efficient operation with low operating cost. E*Trade will pass this low cost to customers through super-discounted commissions rates – 38 percent less than Schwab’s advertised rates. The rates are the lowest of any nationally advertised discount broker. Even with the lowest rates to attract customers, the company’s profit margins are substantial – because of the high level of automation.

The name “E*Trade” was chosen for the new brokerage as a crisp name, quick to learn and remember, a take-off on today’s popular “Email” word – a name clearly identifying E*Trade as the leading automated broker in the evolving information age. E*Trade is a division of Gateway International Securities, Inc., a wholly owned subsidiary of Trade*Plus, Inc.

Accomplishments:

- As president of RKS: 

- Assembled initial team, seed capital, upstreamed to Robinson Stephens

- Hired key personnel, initial licensing for broker dealer

- Managed regulatory approval, integrated extranet technology integrated with Etrade.

RKS excels in meeting the increasingly exacting demands of corporate financing. The expertise in this important area has resulted in RKS striking long-term business relationships with many companies. As such, we play an integral role in the strategic financial planning for these companies, which is so critical to their success.

Our experienced professional staff members provided quality investment services for our individual and corporate clients. These services include: Portfolio Management, Listed and OTC Equities, Tax-exempt Municipal Bonds, Custodial Services, IRAs and Keoghs, Pension Plans, ESOP Plans, Mutual Funds.

Accomplishments

- Founder & Partner.

- RKS is a fully integrated, full service financial services firm with a large number of subsidiaries:

- Trading and Execution, Clearing, Underwriting and M&A services, Business Valuation, Institutional and Retail Sales, Security Transfer Services.

-Publically traded.

Houlihan Valuation Advisors, A Subsidiary of RKS Financial Group, Inc., a national firm focusing on business valuation and related financial advisory services.

In all of its engagements, HVA employs extensive due diligence, rigorous analysis and creative application of established valuation approaches to provide financial opinions that will withstand the scrutiny of investors, fiduciaries, regulatory agencies and triers of fact. In addition, we seek to add value by helping clients structure transactions that maximize their financial objectives.

Accomplishments

- President RKS Financial. 

- Houlihan Valuation Advisors Subsidiary of RKS.

- One of the premiere business valuation firms in the country

Mackenzie Shea, a San Francisco based merger and acquisition firm, specialises in advising in private and public offerings, reorganization, turnarounds, and recapitalization.

Accomplishments

- Founder & Partner

MIRA Financial established the first national financial distribution channel with reverse mortgages as its core business. By combining a mortgage lender, an insurance agency, a registered investment advisor and a securities broker dealer in addition to a senior advocacy/concierge service for non-financial issues (MIRA Senior Life Advocates), MIRA's focus is to become the most responsible origination channel for reverse mortgages in the US, a market that is very fragmented and largely untapped. In addition to being the leader in reverse mortgages, MIRA will amass assets under management and build a significant insurance business. The innovative structure of MIRA creates an entirely new value proposition for the consumer, for potential employees, and for share-holders in the company. 

Accomplishments

- Founder, principal

- Licenced insurance company, mortgage company

- Rolled out national reverse mortgage company

W.J. Gallagher & Co. has prospered through twenty-five years of diverse market conditions, and has served as a source of information and service to its clients since the first day it was founded. W.J. Gallagher & Co. enjoys an impeccable reputation marked by a tradition of quality service and financial integrity.

W.J. Gallagher & Co. is a full service Broker/Dealer providing a broad range of domestic and international services: Equities, foreign and domestic, ADRs (American Depository Receipts), Corporate bonds, foreign and domestic, Institutional services and execution, International investment expertise, Options and hedging strategies, IRA, Keogh, and ERISA services, Municipal bonds, Mutual funds, Tax-advantaged investments, Venture capital/equity private placements/public offerings

Accomplishments

- Managing Partner

- Institutional and retail securities firm.

Soma Fund IX, LLC, is a closed-end management investment fund formed as a California limited liability company to make venture capital acquisitions of distressed securities which as publicly traded or which are anticipated to become publicly traded within 18 months. The Fund also makes investments in U.S. companies that the Fund Managers consider to be potentially high yield investments or that by virtue of special situations merit an investment by the Fund. The Fund also anticipates that it will dedicate up to 50% of its total assets to short-term trading in such securities. 

Accomplishments

- Founding Partner, manager

- Mezzening level financial firm

Corporate Renaissance Group, Inc is a non-diversified, closed-end management investment company. The Company’s primary investment objective will be to achieve long-term capital appreciation through investments in companies, which the Company believes have viable existing businesses generating substantial revenues in established markets, but which have recently completed, are in the process of undergoing or are likely to undergo a financial restructure pursuant to bankruptcy or reorganization proceedings or on a negotiated basis outside of bankruptcy or reorganization proceedings and where, as a result, the Company can ultimately obtain an equity position at a discount from market value for comparable companies that are not financially troubled. 

Accomplishments

- Underwriter

Federal Pacific Credit Company is a Certified Professional Receivables Company focusing on tertiary and the subprime debt. For the last 15 consecutive years FPCC has shown year-over-year fiscal growth and market penetration. focussing on internal efficiencies and consistently refining the strategy in the consumer debt collection marketplace.   The growth rate of FPCC over its 15 years in business is a testament to its approach and management.

Accomplishments

- Founder, principal

-Federal Pacific Credit, LLC is a Certified Professional Receivables Company