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At Sea Pines, 55 Barnard Road BY APPOINTMENT ONLY: Le Club International, Fort Lauderdale , FL 33304 CURRENT POSITION
CONTINUING EDUCATION U.S.C.G. Officer Candidate School - LTJG NASDR, Inc. Advanced Mediation Training - 1998 Cape Cod Dispute Resolution Center, Inc. - Annual training program 1996 Mediation Institute of America, Inc.: 1996 - 2004 (Florida Supreme Court certified program) NASD course on securities arbitration: 1989, 1992, 1994, 1995. NASD Chairperson Training: 1997 AAA course on arbitration: 1991, 1992 Massachusetts Bar Association - New England Securities Conference: 1993 NYSE Arbitration Training Program - 9/93, 2/9/95, 5/97, 10/97, 9/98, 12/98, 9/03, 3/05 Pacific Mutual Life University 1997 – Estate Planning, UVLI, CRITS Securities Compliance Seminars – 1995: John McGovern, 1996 - 2002: Richard Berenger. NASD Firm Element 2001, 2002 New England Financial SPVL annual due diligence meeting – 1998 University of Miami School of Law Mediation Education Seminar – 10/02 Florida Supreme Court Qualified Arbitration certification training– 2002 NASD Dispute Resolution Mediation Focus Group Meeting 4/03 – Boca Raton, FL NASD Spring Conference 5/03 NASD Branch Office Conference 7/13/04 - Boston, MA All Firm Element exams and Branch Office exams: 2002 - 20011
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Curriculum Vitae
THEODORE R. TURNER, JR.
Osterville, Massachusetts 02655
(508) 428-5151, (800) TURNER 1, (508) 420-0631 (fax)
AWARDS
Manager of the Year - Best Small Office 1988: Thomson McKinnon Securities
Dean Witter Top Municipal Bond Producer - 1992, Top ten Dean Witter Tournament of Champions - 1992
Thomson Funds President’s Council - 1993, 1994
PIMCO Advisors Funds Chairman’s Council – 1995, 1996, 1997, 1998, 1999 (#4 Producer for all PIMCO Funds in 1996)
Charter Member PIMCO Funds Coordinator’s Club
Recipient Linsco/Private Ledger’s Outstanding Client Service Award – 1994, 1995 Top Fixed Income Producer Award - 1994,
Member: LPL Patriot’s Club – 1994, 1995
Member: Nathan & Lewis Century Club - 1995, 1996, 1997, 1998, 1999. President’s Club 2000, 2001, 2002
Member: Eaton Vance Leader Club – 1997 - 2005
Oppenheimer Director’s Council – 1999 - 2005
Nuveen Advisor’s Council – 1999, 2000: #1 C share producer for all Nuveen Funds in 1999
Fidelity Advisors Funds – Advisors Council 2002, 2003
#1 Producer Security Benefit Capital Preservation Fund - 2002
Recipient of the USCG Commendation Award
Player of the week USCG Football team
Barnstable High School "Hats Off" Civic award - March 1983
1987 Champion Offshore Power Boat Racing Association, Class A
Cape Cod Dispute Resolution Center Certificate of Appreciation for serving in Falmouth, Barnstable & Orleans District Courts
AG Edwards Crest Club 5/77 - 8/79
Quoted in Smart Money Magazine.
MEMBERSHIPS
Florida Academy of Professional Mediators, Inc., Cape Cod Community College Speakers Bureau, Hyannisport Yacht Club, Willowbend, Osterville Business & Professional Association, 100 Club, Osterville Anglers Club, Osterville Veterans Association.
President and CEO of Turner Lonergan Corporation: Independent Contractors, Arbitrators, Mediators, Insurance Consultants and Finders. 7/93 - present .
Arbitrator and Mediator: FINRA Arbitrator and Mediator #A04010.
PREVIOUS EXPERIENCE
Independent Contractor/Producing Branch Manager/Registered Representative Walnut Street Securities Inc . - (Member: NASD, SIPC) General securities and all related business. Clearing through Pershing LLC. 8/03 - 3/06
Nathan & Lewis Securities, Inc. - (Member: Boston Stock Exchange, NASD, SIPC.) Producing Branch Manager. General Securities and all related business. 7/95 - 8/03
Linsco/Private Ledger - (Member: Boston Stock Exchange, NASD, SIPC.) Producing Branch Manager. General securities and all related business. 7/93 - 7/95
Producing Branch Manager/Registered Representative
Dean Witter Reynolds, Inc . - (Member: New York Stock Exchange, SIPC)Vice President/ Branch Manager.Initially managed and supervised brokers, trainees, operations personnel and sales assistants, then became producing Branch Manager. 3/92 - 7/93
Dominick & Dominick, Inc. - (Member: New York Stock Exchange, SIPC) Senior Vice President. Managed and supervised approximately 2000 retail accounts representing $100,000,000. Supervised brokers, coordinated and directed activities of operations personnel. Developed and procured liaison with Sandwich Co-Operative Bank and established ensuing satellite branch. Created and instituted Dominick & Dominick's Platinum Check-a-Month Plan. Assisted in broker training and retention efforts throughout the branch system. 8/89 - 3/92
Thomson McKinnon Securities, Inc. - ( Member: New York Stock Exchange, SIPC) Vice President. Recruited to set-up, supervise and manage Hyannis office and subsequent branch in Osterville. Earned #9 rank on list of 1988 Leading Producers. Member President's Club/Council 1979-1988. Most profitable office “per broker” 1988. Appointed to the Chapman Energy Broker Advisory Board. 8/79 - 8/89
A.G. Edwards & Sons, Inc. - ( Member: New York Stock Exchange, SIPC) Assistant Vice President.Recruited to enlarge market share on Cape Cod, ensure branch profitability and hire and retain new brokers. 5/77 - 8/79
RELATED EXPERIENCE
Mediator: Past National Association of Securities Dealers (Evaluative), FINRA
Mediator: Supreme Court of Florida certified county mediator
Mediator: Cape Cod Dispute Resolution Center in cooperation with the Massachusetts Attorney General’s office and the Trial District Court Department - Barnstable, Falmouth and Orleans District Court
Arbitrator: New York Stock Exchange, Past National Association of Securities Dealers, Inc. (Chairperson), American Arbitration Association, Boston Stock Exchange Arbitration Committee,Past Boston Stock Exchange Hearing Committee, Past Municipal Securities Review Board, Past American Stock Exchange.
Arbitrator: Florida Supreme Court Certified Arbitrator
Notary Public: Massachusetts
Member: Boston Traders Association 1974-1985
Limited Intervener: Commonwealth of Massachusetts, Dept. of Public Utilities
Qualified securities professional witness: NASD Arbitration - in accordance with NYSE Rule 346 (for member firms - 2, against member firms - 5)
Panel Member: “Fundamentals of Securities Arbitration” with the Directors of the NASD and NYSE. Sponsored by the Massachusetts Bar Association, Business Law Section 1991-92
Past holder: USCG 100 mile-100 ton Captain’s license
Past Director and past member of the Advisory Committee: The Cove at Yarmouth - Yarmouth, Massachusetts
Past Elected Trustee: Harborside Inn, Edgartown, Massachusetts
Former Professor: Cape Cod Community College, Continuing Education Department (since 1973)
Associate Member: American Bar Association
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