HomeMy WebLinkAbout2013-03-12; City Council; 21157; Ad Hoc Committe to Review Treasurer ApplicationsCITY OF CARLSBAD - AGENDA BILL 12
AB#
MTG.
DEPT.
21.157
3/12/13
CA
APPOINT AD HOC SUBCOMMITTEE TO REVIEW
APPUCATIONS RECEIVED FOR THE POSITION OF
CITY TREASURER
DEPT. DIRECTOR
CITY ATTORNEY ^
CITY MANAGER
RECOMMENDED ACTION:
To receive written materials from each qualified applicant who wishes to fulfill the unexpired
term of the position of City Treasurer and adopt Resolution 2013-060 appointing an ad hoc
subcommittee to review the materials and select candidates to present to the City Council on
March 19, 2013.
ITEM EXPLANATION:
A vacancy in the position of City Treasurer was created due to the resignation of former City
Treasurer, Jim Comstock, effective January 30, 2013. The vacated term expires in November
2014.
According to Carlsbad Municipal Code §2.04.030, the City Council may either appoint someone
to fill the position within 60 days of January 30, 2013, or call a special election to fill the
vacancy. If the City Council elects to fill the position by appointment, the person appointed by
the City Council to fill the vacancy will serve the remainder of the term of the former City
Treasurer, until a successor is certified to take office. If a successor is not appointed by March
31, 2013, the Council would be required by law to call a special election.
Initially, applicants were notified that each would have the ability to present written materials to
the City Council and to give a five-minute presentation. However, due to the oven^/helming
number of applicants (nineteen as of the writing of this agenda bill), staff is recommending an
alternative process. Staff recommends that each applicant present written materials to the City
Council as planned and that the City Council appoint an ad hoc subcommittee to review the
applications and select between three and five applicants to present to the City Council during
its scheduled March 19 daytime workshop. The final appointment can then be made by the City
Council at its regular meeting on March 26, within the time frame for appointment to the
position. Staff notified each applicant by phone or e-mail of the recommended change of
process.
FISCAL IMPACT:
If the City Council appoints one of the qualified applicants to the position of City Treasurer, it will
avoid the expense of holding a special election which is estimated to cost between $400,000
and $500,000.
DEPARTMENT CONTACT: CELIA A. BREWER 760-434-2891
FOR CITY CLERKS USE ONLY.
COUNCIL ACTION: APPROVED CONTINUED TO DATE SPECIFIC •
DENIED CONTINUED TO DATE UNKNOWN •
CONTINUED • RETURNED TO STAFF •
WITHDRAWN • OTHER-SEE MINUTES •
AMENDED •
Page 2
ENVIRONMENTAL IMPACT:
The requested action is not a "project" within the definition of California Code of Regulations,
Title 14, Chapter 3, Section 15378(a) since the action has no potential for resulting in either a
direct change in the environment or a reasonably foreseeable indirect change in the
environment.
EXHIBITS:
1. Notice of Intention to Fill a Vacancy for City Treasurer by Appointment
2. Salary and Benefits for City Clerk and City Treasurer
3. City Treasurer Application Packet
4. Copies of Applications for City Treasurer
5. Resolution No. 2013-060
NOTICE OF INTENTION TO FILL A VACANCY FOR CITY TREASURER
BY APPOINTMENT
NOTICE IS HEREBY GIVEN that the City of Carlsbad is accepting applications for appointment to the
position of City Treasurer, to fill the vacancy created by the resignation ofthe current City Treasurer. The
vacated term expires in November, 2014.
The position is part-time, with compensation of $1070 per month, plus a $200 monthly car allowance and
benefits.
• QUALIFICATIONS FOR CANDIDATES:
Must be at least 18 years of age, reside within the corporate limits of the City of Carlsbad, and be
registered to vote in the City of Carlsbad at the time the application is issued; and
Must possess a four-year degree in finance or a business related field and four years
of financial work experience.
(Qualifications contained in Carlsbad Municipal Code Section 2.08.022)
Each qualified candidate will have the opportunity to present their qualifications to the City Council.
Applications must be filed with the City Clerk's Office by 5:00 p.m., on March 4, 2013.
At a regular meeting on March 12, 2013, each qualified applicant will be asked to make a 5 minute
presentation to the City Council. The applicants may then be asked to respond to questions from the Council
regarding their presentation or application. The order in which the applicants will make their presentations will
be determined by a random draw of the applicants' names, prior to the meeting. The City Council may make
a decision at this meeting, or may direct staff to place the matter on a future agenda for action.
Application Period:
Applications Available:
February 13, 2013 through March 4, 2013
Business Hours: 8:00 am to 5:00 pm
City Clerk's Office
1200 Carlsbad Village Dr.
Carlsbad, CA 92008; or
On City Website: www.carlsbadca.gov
Application Deadline: 5:00 pm, March 4, 2013 in the City Clerk's Office
KAREN R. KUNDTZ, CMC
Assistant City Clerk
Dated: February 13, 2013
Publish: February 13, 2013 and February 20, 2013
3
SALARY & BENEFITS - CITY CLERK AND CITY TREASURER
Base Salary $12,840/yr
Car Allowance $2,400/yr
Cell Phone Allowance (OPTIONAL - see Admin. Order No. 69) $540/yr
Benefits Employer Contribution Elected Official Deduction
Basic Life Insurance 2x annual salary ($26,000) Employer paid —
Retirement: option selected by City Clerk
CalPERS or
APPLE 457
FY 12/13: 23.063% of payroll
3.75% of payroll
TBD by CalPERS after 1/1/13
3.75% of payroll
Health:
1. Medical (choice of 3 PPOs and 3 HMOs)
2. Metlife Dental
3. VSP Vision
Varies depending on selected
benefits - see Flexible
Benefits Program for Full Time
Management Employees and
Elected Officials rate sheet
Varies depending on selected
benefits - see Flexible Benefits
Program for Full Time
Management Employees and
Elected Officials rate sheet
State Unemployment Insurance 0.3% of payroll —
Medicare 1.45% of payroll 1.45% of payroll
Pers Survivor Benefits $0.93 semi-monthly —
Optional Benefits Employer Contribution Elected Official Deduction
Deferred Compensation (ICMA) (pre-tax) — Amount selected by employee
Flex Spending account (pre-tax) — Amount selected during open
enrollment or as new hire
Supplemental and Dependent Life — Varies - selected during open
enrollment or as new hire
Accidental Death or Dismemberment — Varies - selected during open
enrollment or as new hire
Accident Insurance — Varies - selected during open
enrollment or as new hire
Critical Illness Insurance — Varies - selected during open
enrollment or as new hire
Universal Life/Long Term Care Insurance — Varies - selected during open
enrollment or as new hire
H:\Iibrary\salary reports\salary schedules\current
V
CITY OF CARLSBAD - CITY TREASURER
INFORMATION FORAPPUCANTS
(Please read before completing application)
The Carlsbad City Council is seeking applications from residents interested in fulfilling the vacant term ofthe
City Treasurer, ending in November, 2014. This position became vacant with the resignation of the current
Treasurer.
The position is part-time, with compensation of $1070 per month, plus a $200 monthly car allowance and benefits.
• QUALIFICATIONS FOR CANDIDATES:
Must be at least 18 years of age, reside within the corporate limits of the City of Carlsbad, and be registered to
vote in the City of Carlsbad at the time the application is issued; and
Must possess a four-year degree in finance or a business related field and four years
of financial work experience.
(Qualifications contained in Carlsbad Municipal Code Section 2.08.022)
Each qualified candidate will have the opportunity to present their qualifications to the City Council.
Applications must be filed with the City Clerk's Office by 5:00 p.m., on March 4, 2013.
Before applying, you should be aware of how much of your time you will have to devote. The City Treasurer is
responsible for carrying out numerous financial, accounting, economic and banking responsibilities what are
vital to the financial health of the City of Carlsbad.
Applications are valid for one year and are open for public inspection.
You will be required to file a financial disclosure statement if appointed to the position of City Treasurer.
You will also be required to attend two hours of State Mandated ethics training every two years.
Upon completion of your application, please mail or deliver the application to the following address:
City Clerk's Office
City Hall
1200 Carlsbad Village Drive
Carlsbad, CA 92008
APPUCATION FOR APPOINTMENT
AS CITY TREASURER
(Please print or type)
NAME:
ADDRESS:
CITY: ZIP CODE:.
HOME PHONE:
EMAIL:
PRESENT OCCUPATION:.
BUSINESS NAME:
BUSINESS ADDRESS:.
WORK PHONE:
U. S. Citizenship Yes No
Resident of Carlsbad ^Yes No
Registered voter in Carlsbad ^Yes No
Four Year Degree in Finance or Business ^Yes No
Four Years of Financial Work Experience ^Yes No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Conflict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE: DATE:
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational Institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use of the above information by the City. I further agree that a photocopy of this authorization
may be used in lieu of the original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
APPLICATION FOR APPOINTMENT - PAGE 2
EDUCATION:
EXPERIENCE:
COMMUNITY AaiVITIES:
ADDITIONAL INFORMATION OR COMMENTS:
APPUCATION FOR APPOINTMENT D) nl APPUCATION FOR APPOINTMENT
AS CITY TREASURER ti FEB 2 5 2013
(Please print or type)
NAME: Stephen Ummel (Steve)
L
CnYOFCARLSBAD""^
. CITYCLBRK'SOFFinp
ADDRESS:
CITY: Carlsbad
HOME PHONE:
EMAIL:
ZIP CODE: 92011
PRESENT OCCUPATION: Controller
BUSINESS NAME: California West Communities
BUSINESS ADDRESS: 5927 Prlestly Dr., Ste. 103. Carlsbad 92008
WORK PHONE:
U. S. Citizenship
Resident of Carlsbad
Registered voter in Carlsbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be Interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an Individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Conflict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE: ^ X X ^ ^ DATE: 02/25/2013_
In consideration for the City's review of rny application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, mcluding their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use of the above information by the City. I further agree that a photocopy of this authorization
may be used in lieu of the original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
APPLICATION FOR APPOINTMENT - PAGE 2
EDUCATION: Bachelor of Science in Business Administration
with an emphasis in Finance, Chapman University 1985.
Additional accounting classes, Humboldt State University,
1988 (for purposes of becoming a CPA).
Licensed as a CPA by the State of California in 1992
(remain active status)
EXPERIENCE: .1989 to 1997 - CPA with the firms of Kenneth Leventhal and Company,
Yoder Kushner, and Ernst & Young, LLP. From 1997 to the present, worked for various
homebuilding ventures including William Lyon Homes, Lucas & Mercier Development,
Davidson Communities and California West Communities In the positions of Controller
and CFO. I'm familiar with the products described within the City's Investment Policy
from my current and previous experience.
COMMUNITY ACTIVITIES:
Current Board Member ofthe Carlsbad High School Band Boosters.
Former youth counselor and finance committee member at local church.
Former coach for La Costa Youth Organization.
Participant in the Outdoor Adventure leadership at local church.
My family and I have been residents of Carlsbad since 2004. ADDITIONAL INFORMATION OR COMMENTS: L
Married to Kathy Ummel for 21 years. Kathy works for the Carlsbad USD in special education. We have two sons. Chad
is a fireshman at UC Berkeley studying physics (Graduated fi'om CHS in 2012). Jake Is a sophomore at Carlsbad High School.
7
EXPERIENCE:
1 FEB 2 7 2013
CITYOFCARLSB.AD CITY CLERK'S OFRCE
zJ
STEPHEN L. UMMEL, CPA
9/07 - Present
8/99-9/06
Califomia West Construction, Inc.
Lucas & Mercier Development, Inc.
Controller
9/06-9/07
Responsible for all accounting functi(His, including fmancial statements, taxes,
budgeting and forecasting, loan draws, cash management, and accounts payable.
Additional responsibilities included supervising a staff of 3 team members, risk
management, and 401(k) administration. In late 2003,1 worlced closely with our
legal and accounting consultants in closing the sale of Lucas & Mercier
Development, Inc.'s ("LMD") Sacramento division to Standard Pacific. Since
late 2004, given the additional responsibility of obtaining financing for
homebuilding projects as well as reviewing potential new homebuilding
projects. LMD is a local, 17 year old, second and fliird move-up homebuilder
Davidson Communities
Corporate Controller
Responsible for managing all accounting functions, including fmancial
statements, taxes, budgeting and forecasting, loan draws, cash management,
accounts payable, payroll and audits. Additional responsibilities include
supervising a staff of 4 team members, risk management, and 401(k)
administration Woriced on upgrading all aspects of the accounting dept. in order
to assist owners, lenders and partners in providing more timely and accurate
information. Davidson Communities is a third and beyond move-up
homebuilder located in Del Mar.
3/97-8/99
10/94-2/97
William Lyon Homes, Inc.
Project Assistant Controller
Primary activities included supervising a staff of 4 accounts payable and revenue
accountants, maintaining cost budgets for all projects, completing extemal
reporting packages for partners and lenders, supervising daily cash management,
and allocating labor.
Ernst & Young LLP (E& Y Kenneth Leventhal Real Estate Group)
Kenneth Leventhal & Company - Newport Beach, Califomia
Audit Senior
Primarily responsible for supervising and executing audits within the real estate
industry for this large CPA firm. Other industry experience included
biotechnology, software, manufacturing and distribution, construction, and
airline service.
5/93 -10/94
Yoder Kushner & Company
Audit Senior
Irvine, Califomia
Responsibilities included field execution of group audits within various
industries for this small, local CPA firm. Industry experience was concentrated
in manufacturing & distribution, mortgage banking and construction contracting.
7/92 - 5/93
12/90 - 7/92
9/89-12/90
5/87 - 8/88
7/85 - 5/87
Kenneth Leventhal & Company - Newport Beach, Califomia
Audit Senior
Audit Semi-Senior
Staff Assistant Accountant
See experience with Ernst & Young LLP.
Transamerica Premier - Orange, Califomia
Product Analyst
Evaluated and analyzed various automobile insurance products for this large
insurance company. Responsibilities included analyzing product profitability,
insurance language and interfacing with state departments of insurance.
Great American Insurance Company - Orange, Califomia
Personal Lines Underwriter
Evaluated automobile and homeowners insurance applicants on an individual
basis utilizing risk factor analysis. Supervised independent property and
casualty agents and monitored the profitability of their portfolios.
EDUCATION:
OTHER:
BS, Chapman College - Orange, Califomia, 1985
Major: Business Administration
Emphasis: Finance
Humboldt State University - Areata, Califomia, 1989
24 units of accounting coursework
Licensed by the State of Califomia as a CPA in 1992
References furnished upon request
APPUCATION FOR APPOINTMEI i
AS CITY TREASURER
FEB 2 6 2013
^9JF^0''CARLSBAD CITY CLERK'S OFFlCg
NAME: l^lpfr l D. (^/y W)
(Please print or type)
ADDRESS:
CITY: Cct^hfcx^^^ ZIP CODE: 9 ZOn^' 6P(£> 2^
HOME P
PRESENT OCCUPATION; Vl C LcoAt ^ (fp/r)
BUSINESS NAME; C\V^ 0^ ["^h^/jl
BUSINESS ADDRESS:.
WORK PHONE: BWBBBMII^^
U. S. Citizenship
Resident of Carlsbad
Registered voter In Carlsbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
Yes No
Yes No
Yes No
Yes No
y Yes No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an Individual Council Member.
I am willing to file financial disclosure statements as required by the State's or CIt/s Conflict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
DATE; 2/25/2^/ SIGNATURE
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use ofthe above information by the City. I further agree that a photocopy ofthis authorization
may be used in lieu ofthe original forthe purposes stated above. 1 also understand that I will be required to provide additional
Information necessary for the verification of my voter registration status to the City Clerk's Office.
7
APPLICATION FOR APPOINTMENT - PAGE 2
EDUCATION: (P)A. ^n>)uW(iL - fYlajQ/ j ^ ^Co^grhfc g ar\^ y..
EXPERIENCE; y^ g^^'V bqirl)siV]^ , S^gc:^;/ !>> eS' Q^c^
COMMUNITY ACTIVITIES:
ADDITIONAL INFORMATION OR COMMENTS; Pkoj^ £ee my ^^xc^jg^^ f f^SV/^C,
/3
RobartD^|mnlM|l
EXPERIENCE PROFILE
City of Carlsbad Senior Center October 2012 - Present
Part time Facilities Leader at the Senior Center. Responsible for preparation and breakdown of items
necessary for functions In the Sentor Center and for monitoring activities.
City of Carlsbad Senior Center & Other Positions May 2010-October 2012
Volunteer Driver for the delivery of hot meals to area Senior Citizens. Manned a Household
Hazardous Waste Hotline. Also volunteer with a local church providing sendees to Nazareth Orphanage
In Tecate, Baja, Mexico.
Trust Administration Services Corporation, Carlsbad, CA July 2002 - March 2010
Vice President Client Administration / Customer Service
Responsibilities include:
- Supervise work procedures, set work schedules and expedite work fiow
Hire, train, manage, develop and provide leadership and technical guidance to a cross functional
cali center staff
- Ensure production problems are Identified and resolved In a timely and proactive manner
- Monitor productivity of Call Center Administrators and review reports about the delivery of
inbound and outbound calls
- Monitor senfice calls to observe the employee demeanor, technical accuracy and conformity to
company policies
- Supervise overall Call Center functions which require regular Interface, cooperation and
communication with all company functions, customers and advisors
- Maintain hamiony among employees and resolve grievances
H&R Block Financial Advisors (fbrmerly Olde Financial Corp.), Encinitas, CA April 1997- July 2002
Financial Advisor / Assistant Branch Office Manager
Responsible for marketing a wide range of investment products and services in a discount commission
environment. Managed assets of approximately $20 million.
Dean Witter, San Diego, CA April 1996-April 1997
Account Executive ^ x. - ^ •
Responsible fbr marketing a wide range of Investment products and services. Promptly obtained senes
7, 31, 63 & 66 licenses and achieved all sales and asset gathering goals necessary to attend home office
training.
North County Bank, Escondido, CA July1993-August 1995
Mnrtaaae Loan Officer Responsible for developing new residential loan volume in San Marcos,
Escondido and Valley Center markets. Successfully established a presence and ^apport with th^^
estate and business communities. Maintained a steady stream of loan closings in spite of a declining
lending environment.
Page 2
Well Fargo Bank, San Diego CA 1988-1993
Personal Bankino Officer Responsible for the promotion of ali banking sen/ices and products to area
consumers and businesses. I promptly completed Personal Banking Officer School with a 90% test
scoring average, and maintained an above average pertormance rating throughout my tenure. 1 assisted
our manager in training and managing new piatfonn personnel.
Krupp Residential Mortgage Corporation, Westborough, MA 1987-1988
Vice President of Resklential Lending Responsible for the development of residential mortgage volume
for four branch offices in Massachusetts, New Jersey and Georgia. For the period from August 1987 to
February 1988, my region experienced a 26% growth in the pipeline, a 15% reduction in expenses and
closings as a percentage of the company increased by 6%.
Pioneer Financial, A Cooperative Bank, Framlngham, MA 1984-1987
Branch Sales Manager. Residential Lending Office production In 1986 exceeded $65 million, including
personal production in excess of $22 million. Profitably managed a staff of four loan officers and four
processors. Consistently achieved a 90 % approval rate on ali loan submissions.
EDUCATION & LICENSES
B.A., Double-Major In Economics and Sociology, Saint Lawrence University
Graduate studies toward M.B.A., Babson College
Califomia Real Estate License
Certified In First Aid CPR & AED May 2010
Currently a volunteer for the City of Carisbad Senior Center
REFERENCES
Will be fumished upon request
APPUCATION FOR APPOINTMFMT
AS CITY TREASURER
NAME;j<gren Keusseyan
ADDRESS
Qjy. Carlsbad
(Please print or type)
ZIP CODE:^^QQQ
HOME PHONE: 919-847-2786
EMAiL'l
PRESENT OCCUPATION: I^Q"^^'^QI^Q'^» '^QW resident
BUSINESS NAME:
BUSINESS ADDRESS:.
WORK PHONE:
U. S. Gtlzenship
Resident of Carisbad
Registered voter In Carisbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar with the responsibilities assigned to the Qty Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an Individual Council Member.
1 am wilting to file financial disclosure statements as required by the State's or City's Conflict of Interest
Codes.
I am willing to attend
SIGNATURE:
of State Mandated ethics training every two years.
DATE: ^
In consideration for the cfcy's reviefv of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attomey fees and costs) that may rf-rectly or
indirectly result from the disclosure to. or use of the above information by the City. I further agree that a photocopy of this authorization
may be used in lieu of the original for the purposes stated above. 1 also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
APPUCATION FOR APPOINTMENT - PAGE 2
EDUCATION; Management, Specialization in Finance. Binghamton University 1983.
Formerly known as the State University of New York (SUNY) at Binghamton.
EXPERIENCE: From 1988 until 2008 I was the Executive Secretary ofthe Rotary Club of
Raleigh, NC, as well as Rotary District 7710. I also served the Raleigh Host Lions
Club as Executive Secretary from 2006 until 2008. From 1995 until 1998,1 worked in
a bank. Branch Banking and Tmst (BB&T) beginning as a peak time teller, and leaving
as a Relationship Banker (RB) on a full time basis. Full time work was not an ideal
situation for our young family, so filial responsibility took precedence.
_, Here in North County-San Diego, I sit on the Board of the
COMMUNrrY ACnvmES: JL I
Friends of the Rancho Buena Vista Adobe, birthplace of Vista. I chose that
organization because I had been a docent at the North Carolina Museum of History in
Raleigh, and enjoyed the interaction with the public, teaching them about the special
and important relevance our shared history has in our lives today.
am comfortable using Microsoft Office, including
ADDITIONAL INFORMATION OR COMMENTS:
Excel, and have experience with QuickBooks. I am inherently organized and task
oriented. It is my tum to give back to this community I feel so fortunate to live within
17
NAME; ^"'^ Splering
ADDRESS
Qjy. Carlsbad
APPLICATION FOR APPOINTMENT
AS CITY TREASURER
(Please print or type)
ZIP CODE: 92009
HOME PHONE.^
EMAIL:!
PRESENT OCCUPATION; President &Chlef Portfolio Manager
BUSINESS NAME: Anchor Bay Capital, inc.
BUSINESS ADDRESS; 5780 Fleet Street, Ste. 308. Carlsbad, CA 92008
WORK PHONE;l
U. S. Citizenship
Resident of Carisbad
Registered voter in Carisbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
Yes ^ No
X Yes No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an Individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Conflict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE DATE:
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, Including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use of the above Information by the Oty. I further agree that a photocopy of this authorization
may be used in lieu of the original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
APPUCATION FOR APPOINTMENT - PAGE 2
.-rM Degree from Brooks Institute of Photography, Santa Bartjara, CA in Photographic Arts and Sciences. cDUCATION:
I am the founder and Preskleni of Anchor Bay Capital, Inc. located in Cartsbad, Califomia. For the last 25 years, acting as a fiduciary I have helped corporate and
EXPERIENCE; .
institutionfll clients with their cash management and investment needs I have also served high net worth cttents using the same principles described in The Fnjqai Investor' - a successful
book that i authored. I hold a wide range of professional securities licenses and also possess a well-rounded understanding of various financial topics including asset
management, socially responsible investing and risk management. Prior to the formation of Anchor Bay Capital. Inc.. I was employed by several well known publk: Investmeni manage-
ment firms beginning with Merrill Lynch where I successfully matched a variety of corporate and institutional clients with appropriate cash management and fixed income solutions.
I enjoy serving my country and local community. I served my country during a combat tour In Vietnam.
COMMUNITY ACTIVITIES; —
founded the Splering Family Foundation, a nonprofit, charitable organization that assists athletically and scholastically promising youtti in achieving
higher education through various nondiscriminatory scholarstiip programs. Most recently, I was elected by my neighbors as President of the Home
Owners Association for Bressi Ranch, and within the first five months of holding office, lead the board to saving over $250,000 a year in reoccurring expenses.
Through my company, Anchor Bay Capital. Inc., I have contributed finandally
ADDITIONAL INFORMATION OR COMMENTS:,.^ _
lo local Carlsbad sports such as Carlsbad Pop Wamer. Carlsbad Youth Baseball. Carlsbad High School Football and Basketball.
fCi
APPUCATION FOR APPOINTMENT
AS CITY TREASURER
(Please print or type)
NAME: Mary Kay Jordan
ADDRESS: >
QYY: Carisbad ZIP CODE; 92011
HOME PHONE: I
EMAIL:
PRESENT nrruPATiQN:Accountant/Bookkeeper
BUSINESS NAME: Self Employed - MK Jordan Bookkeeping Services
BUSINESS AnnRF^^I^^—Carlsbad, CA 92011
WORK PHONEJ
U. S. Citizenship
Resident of Carisbad
Registered voter In Carlsbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar with the responsibilities assigned to the Gty Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Conflict of Interest
Codes.
I am willing to attend two hpurs of State Mandated ethics training every two years.
2 DATE:VA0 SIGNATURE:
In consideration forthe Qt/s review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use ofthe above information by the City. I further agree that a photocopy ofthis authorization
may be used in lieu ofthe original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
25
MARY KAY JORDAN
ElieATION
B.B.A. Hofstra University, New York
Business Management/Accounting December 1986
Society for the Advancement of Management - member
Outstanding Student Award - December 1985
Accounting
A.S.
Business Administration
Phi Theta Kappa
Dean's List
member
University of Phoenix
June 2001 - January 2003
Nassau Community College
May 1984
EXPERIENCE;
Owner/Operator MK Jordan Bookkeeping Services
1992-Present
Providing bookkeeping and accounting services for all forms of business in a wide range of
fields.
Chief Financial Officer Chesnut Properties, LLC
2003 - Present
Independent CFO
Chesnut Properties is a commercial and residential real estate development and investment
company with assests valued In excess of $100 million.
Practice Administrator Paul E. Chasan, M.D.
Plastic & Reconstructive Surgeon
1/96-9/97
Maintained as a client
Patient Consultant &
Operating Room Manager
Mark V. Andrews, M.D.
Plastic & Reconstructive Surgeon
9/86-12/95
REFERENeES:
Upon Request
APPLICATION FOR APPOINTMENT- PAGE 2
EDUCATION:
B.B.A Business Management/Accounting - Hofstra University NY
Continued Education - Accounting - University of Phoenix
Passed CPA Exam - not licensed
EXPERIENCE: .Owner/operater 16 years - MK Jordan Bookkeeping Services
COMMUNITY ACTIVITIES;
Treasurer - Aviara Oaks Middle School Band
ADDITIONAL INFORMATION OR COMMENTS:
n
STATE OF CALIFORNIA - STWIE AND CONSUMER SERVICES AGENCY^ ARNOLD SCHWARZENEOGER, Ganmor
Gcnanner
Aifiiin
CALIFORNIA BOARD OF ACCOUNTANCY
2000 EVERGREEN STREET SUITE 250
SACRAMENTO. CA 96815-3832
TELEPHONE: (916) 263-3880
FACSIMILE: (916) 283>3675
WEB ADDRESS: http'J/www.dca.ca.gotftcba
February 2,2005
MARY KAY JORDAN
CARLSBAD, OA 92009
Dear Mary Kay Jordan:
Congratulations! The records of the California Board of Accountancy indicate that you
have successfully passed all sections of the Uniform Certified Public Accountant
Examination. The grades awarded on the Unifonn Certified Public Accountant
Examination(s) were those reported by the American Institute of Certified Public
Accountants and adopted, unchanged, by the Califomia Board of Accountancy.
The passing grade for each section of the Unifomi Certified Public Accountant
Examination in Califomia is 75.
It is important for you to know that you may not engage in the practice of public
accountancy in Califomia, nor hold yourself out as a certified publte accountant
unless you are the holder of a valid pernnit to practice public accountancy issued by
the Califomia Board of Accountancy.
Patti Franz
Licensing Manager
PLF:ex
73
HOFSTRA
UNIVERSITY
OFFICE OF THE REGISTRAR
HEMPSTEAD. NEW YORK 11550
January 15, 1988
Ms. Mary K. Conbo:
Dear Ms, Conboy:
Congratulations on successfully completing all req.uireinents
for the degree of Bachelor of Business Administration.
The degree conferral date is December 31, 19^7• This date
and any special academic honors earned have been posted to
your permanent record. You will be notified as soon as your
diploma is received from the printer.
Best wishes for the future.
Sincerely yours,
Gerard L. Cot4
Registrar
5:^-
APPLICATION FOR APPOINTMENT
AS CITY TREASURER
l^^i^g. Peter Michael Iverson (Please print or type)
ECDEDWl
FEB 2 7 2013
kllPfc/RLSBAD
ADDRESS:'
Carisbad
CITY:_
HOME PHONE:'
EMAIL:'
ZIP CODE: 92011
Independent financial and management consultant to non-profits
PRESENT OCCUPATION: ^
PMI Consulting
BUSINESS NAME:
BUSINESS ADDj
WORK PHONE
arisbad, CA 92011
U. S. Citizenship
Resident of Carisbad
Registered voter in Carisbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
MBA Yes No
X Yes No
I am familiar with the responsibilities assigned to the Gty Treasurer position.
I am Willing to be Interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am Willing to file financial disclosure statements as required by the State's or City's Conflict of Interest
Codes.
I am Willing to attend two hours of State Mandated ethics training every two years.
DATE: SIGNATURE:
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use of the above information by the City. I further agree that a photocopy of this authorization
may be used in lieu of the original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
o •
APPLICATION FOR APPOINTMENT - PAGE 2
MBA, San Diego State University, San Diego, CA
EDUCATION:
MS, Metallurgy, Iowa State University, Ames, IA
BS, Materials Engineering, Cal Poly, San Luis Obispo, CA
Systems Management Coursework (graduate level), USC, Los Angeles, CA
Executive Program for Senior Officials, Kennedy School of Government, Harvard University
Chief Business Officer, San Diego Unified School District, 2009-2003
EXPERIENCE:
Director of Operations, Vertigo, Inc., Lake Elsinore, CA, 2003-1999
Program Manger, Leigh Aerosystems Corporation, Carisbad, CA, 1998-1997
Chief Logistics Officer, III Marine Expeditionary Force, Okinawa, Japan, 1997-1994
Finance Officer and Member of the Board, MCRD Museum Historical Society
COMMUNtTY ACTIVrriES:
Member, Investment Committee, Coastal Community Foundation, Encinitas, CA
Member, Finance and Investment Committee, St, Peter's, Del Mar, CA
Member, Development Committee, Episcopal Diocese of San Diego
Working knowledge of Oracle/PeopleSoft financial and hun
ADDITIONAL INFORMATION OR COMMENTS:
MS Office (Word, Excel, Access, PowerPoint, Outlook), MS Project, Visio, Intuit (QuickBooks Pro acct
Working knowledge of Baldrige Awards Process. Fomner Examiner, California Awards for Performana
"^5
Marine Corps Recruit Depot
Museum Historical Society
www.mcrdmhs. org
Col PETER IVERSON, USMC (Ret)
MHS Financial Officer
Building 26
Post Office Box 400085
San Diego, CA 92140-0085 MHS (619) 524-4426
Fax (619) 524-0076
PMI Consulting
Non-profit finance and nunagi»prn(
Peter Mkliacl Ivctsoo '
Principi
pcte®petcriver«»nxoni
Car
CA 92011-4010
n-
APPLICATION FOR APPOINTMENT
AS CITY TREASURER
(Please print or type)
NAME; Bernard Baskin
ADDRESS:
QTY:Carlsbad, CA ZIP CODE; 92009
HOME PHONE; I
EMAIL;!
PRESENT OCCUPATION: Consultant
BUSINESS NAME;
BUSINESS ADDRESS:.
WORK PHONE;
U. S. Citizenship
iResident of Carisbad
Registered voter in Carlsbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
FEB 2 8 2013
CITYOFCA,RLSBAD CITY CLERK'S OFFICF
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Conflict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE: i^^^^^^y^yT^ y^yu^L^^ DATE: ^J^^J^^
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained. Including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use ofthe above information by the City. I further agree that a photocopy ofthis authorization
may be used in lieu ofthe original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
APPLICATION FOR APPOINTMENT - PAGE 2
EDUCATION: .Please See Attached Resume
EXPERIENCE: P*^^^^ Ses Attached Resume
COMMUNITY ACTIVITIES: J was a founding member ofthe Millbrae Education Foundation
in the Bay Area. I have been involved in Junior Achievement, a volunteer in the
IRS sponsored tax preparation program for low income tax payers and seniors,.
an advisor and domain expert for San Diego Connect that helps start ups and early
stage companies secure financing and seed capital to boostrap the business.
i*r.,>.^.«...*. /.««-*iirK,Tc • bellevo in fiscal responsibility, accountability and
ADDITIONAL INFORMATION OR COMMENTS; L V ' transparency. I beiieve that a community must operate within its means and that it keep
Versatile, innovative financial leader focused on creating long-term value and delivering results. Expert at
developing and implementing successful strategic Initiatives that align with business objectives. A
consummate negotiator who identifies and delivers ROI value. Experienced in leading organizations
through change. A skilled business analyst, with sound business judgment and proven problem-solving
acumen. A recognized leader bringing energy and passion to the enterprise with a bias for action.
Financial Management
Risk Management
Process Improvement
Cash Flow optimization
Internal Controls
Strategic Planning
Investment & Funds
Management
Divestitures
Organizational Restructuring
Due Diligence
Mergers & Acquisitions
Financial Reporting
Debt Financing and Swaps
IT Integration
Start ups
Budgeting, Forecasting
Cost Reduction
Leadership
Accounting System
Conversions
PROFESSIONAL EXPERIENCE
Baskin Consulting, Carlsbad, CA 2012 to Present
Financial and business consultant to startup and eariy stage companies. Provides chief financial officer
services and advice on corporate finance, operations, strategic planning and business expansion to small
and mid-size companies.
be.group, (formerly Southem California Presbyterian Homes), Glendale, CA • 2010-2012
Multi-site provider of quality housing, healthcare and support services for older adults, with an annual
budget of over $1 DOM.
Executive Vice President & Chief Financial Officer - Reported to the President and CEO.
Recruited in a nation-wide search to turn around, invigorate and repair morale to a struggling finance and
accounting department, restored investor confidence and generate positive NOI for all product and
service lines. Focused on restoring capital expenditures for facility modernization and deferred
maintenance projects. Oversaw an investment portfolio of over $50M to match or better key benchmark
returns. Supervised the strategic application and integration of information technology across functional
areas. Supported the Corporation's S&P bond rating. A member ofthe senior management team, and a
corporate officer serving three board committees, finance, audit ar)d investment. A thought leader and
architect of strategic initiatives. Responsible for three direct and 16 indirect reports.
Financial/Operational Highlights:
• Drove positive cash fiow by aggressively targeting reductions in outstanding accounts receivables.
Achieved 40% reduction in outstanding accounts and an additional $150K monthly cash flow by
focusing on tightening processes and procedures, introducing innovative billing best practices and
implementing a vigorous collections mandate. Reduced bad debt reserve straight to the bottom line.
• Realized higher levels of cash flow by instituting efficiencies, best practices and cost reductions that
contributed over $1.5M annually to EBITDA.
• Implemented a state-of-the art online human resources and payroll management system replacing
the labor intensive manual system, leading to higher productivity, automated reconciliations and low
cost of ownership.
• Brought payroll in-house with an annual saving of over $60K in personnel and outside vendor fees.
• Transformed banking and treasury services saving over $25K per month in fees and processing
charges.
• Redesigned management monthly reports, developed benchmarks, metrics and perfonnance
scorecards that provided measured results to better achieve management goals and profitability
targets. Used reports to identify cost drivers, causes of budget variances, lost revenue, appropriate
staffing levels and reductions in overhead. Developed predictive analytical tools that modeled
outcomes and mitigated risk.
3C.)
BERNARD BASKIN • Page 2
• Introduced margin analysis to enhance cash reserves. Developed GAAP and non-GAAP measures
of revenue and cash to optimize operating margin by 15%.
• Created and implemented an expense reduction program. Achieved cost savings of over $500K cash
in 4 months by renegotiating terms and selecting vendors through a rigorous competitive bidding
process.
be.group Foundation, (formerly Southern California Presbytertan Homes Foundation)
Glendale, CA
With $3.3 million operating funds and over $20 million in assets, the Foundation is a supporting
organization to be.group. Its mission is to provide financial resources to assist be.group and its affiliates
through charitable gifts and managed funds. The Foundation supports be.group's dedication to providing
quality housing, health and support services to older adults of all faiths in the communities in which it
operates enriching the physical, social and spiritual dimensions of their lives.
Chief Financial Officer
Responsible for the fiscal management of the foundation. Managed the accounting, reporting and budget
process including maintenance of donor records and distribution of funds under various gift giving
programs. Ensured compliance with applicable state of California and federal tax exempt laws. Made
sure that donations and charitable contributions are properiy classified as restricted and unrestricted on
the balance sheet and that non-monetary donations were correctly valued and accounted for. Developed
strategy and executed policy of an investment portfolio of over $20 million. Provided resources and
expertise and management over all grant proposals and awards made to the Foundation. Deliver on-
going staff support to the Foundation Board of Directors and served as the liaison to the be.group Board
of Directors and its functional committees. Prepared timely and accurate tax returns and coordinated the
annual audit
• Oversaw the integration of Raiser's Edge (fund raising software) with Great Plains (accounting
software) to eliminate redundant processing, and speed the distribution of funds to
annuitants/beneficiaries and improve the accuracy and timing of reporting.
• Strategically managed the investment portfolio resulting in a risk adjusted 7% annual return beating
the overall market perfonnance by neariy 4%.
• Successfully support the Foundation fund raising gala and golf events leading to a record 20%
increase in gift giving and donor participation.
LUMETRA, San Francisco. CA 2002-2010
Healthcare consulting and information technology company with over $47M in annual revenue derived
from three service lines: consulting. Medicare fraud detection, and electronic medical records software
implementation and training.
Chief Financial Qflicer - Reported to the President and CEO
Hired to restructure and modernize the finance organization. Created a high performance finance team;
completed a full accounting system conversion; transformed outdated processes and procedures;
implemented an ERP system and introduced state of the art data analytical tools for more accurate
reporting and timely decision making. Wori<ed closely with the CEO to plan the Company's strategic
direction. Formed two subsidiaries with operating offices in 5 states. Supported three independent Boards
of Directors. Divested a profitable division for a gain of over 3 times EBITDA. Developed a pricing model
for products and services that resulted in higher revenue and earnings growth. Managed the acquisition
of over 90,000 square feet of space in multiple locations; supervised the IT and human resources staff
activities; and negotiated vendor and customer contracts over $500,000. In close coordination with the
CEO and legal counsel, compassionately oversaw the layoff of 110 employees representing neariy 70%
of total staff due to the loss of a major customer contract Partnered with the new CEO to stabilize and
restructure the company into a stronger, leaner operation. Responsible for four direct and 16 Indirect
reports.
5
BERNARD BASKIN • Page 3
Financial/Operational Highlights:
• Implemented sales efficiency plans that increased and sustained revenues 23% in FY 2004, and 26%
in FY 2005, attaining profit margins of 7% and 9% respectively.
• Completely revamped an underperforming accounting/finance department; streamlined functions;
eliminated redundancies; and implemented processes improvements and best practices that resulted
in a $500K reduction in overhead annually.
• Headed startup company launch and realized sales growth ranging from $1.5M to $19M in 3 years,
and attained 10% annual net income.
• Established online financial/monthly project reporting, eliminated processing errors and introduced
mandatory staff training which cut 5 days off of the monthly close, and reduced costs by over $120K
annually.
• Instituted cost-control processes and procedures that reversed negative cash flow and reduced
overhead 15% within 5 months of implementation.
• Directed SOX compliance implementation processes, saving more than $25K in audit fees.
• Developed and implemented a process for reporting and measuring key results leading to operational
efficiencies that increased revenue 25% annually.
• Profitably operated contracts in local currency with the Abu Dhabi Health Authority.
• Established a purchasing/procurement function that eliminated waste and inefficiencies in acquisition
programs generating over $200K annual savings and positive cash flow.
NORTHERN CALIFORNIA INSTITUTE FOR RESEARCH AND EDUCATION, INC. (NOIRE)
San Francisco, CA 2000-2002
Non-profit medical research center with over $27M in annual revenue. Affiliated with the University of
California San Francisco Medical School and Veteran Administration Hospital.
Chief Financial Officer - Reported to the President and CEO
Led all aspects of the financial management for the construction of a single-story office building. Prepared
financial reports, detennined and allocated budgets and directed company investments. Led the accounting,
contracting, HR, purchasing, shipping/receiving, and administrative support functions. Designed, developed
and executed an automated management reporting system that included on-line requisitions and approvals,
email notifications and the use of technology to process shipping and receiving activity directly into the
accounting system. Woriced with the VA Hospital to improve hospital financial administration and billing
systems. Spearheaded the transition of the employee benefits and retirement programs to a new provider
and administrator. Implemented project management accounting for complex, multi-million dollar research
grants and phase three clinical trials. Supervised four direct and 9 indirect reports.
Financial/Operational Highlights:
Drove new business Initiatives and created a competitive pricing methodology, securing 50% of bids
and increasing revenue in 1 year by $6M (or 25%).
Instituted an online purchasing/shipping and receiving system, and automating processes that resulted
in savings of over $75K annually in personnel and administrative costs and increased efficiencies.
Conceptualized and directed accounting system conversion/redesign, completing transition within 6
months and $50K under budget
Revised existing indirect cost method of alkxiation, reduced costs and created additional $700K annual
cash flow.
Renegotiated healthcare provider contracts, reducing costs by 20% annually.
Secured funding for MRI equipment at 2 points under prime, saving $100K in interest
ADDITIONAL HISTORY (Full details on request)
TITAN CORPORATION, San Diego, CA - Reported to the Corporate VP
Public company (NYSE) manufacturing electronic components and providing sofhware engineering services
with over $1B in revenue.
3?
BERNARD BASKIN • Page 4
Director of Government Policy
• Secured over $30M in at-risk accounts.
• Reduced days sales outstanding by 20%.
• M&A and post-acquisition integration.
• Directed the creation of a shared services department as part of a post-acquisition initiative to eliminate
redundancy and reduce administrative costs.
COOPERS & LYBRAND (PRICEWATERHOUSECOOPERS), San Diego, CA - Reported to Partner
• Provided public accounting and consultancy for one of the largest CPA firms in the country.
EDUCATION
Master of Business Administration
San Diego State University, San Diego, California
Master of Arts in Library and Information Sciences
Rosary College (Dominican University), River Forest, lltinois
Bachelor of Arts in English/Philosophy (dual major)
Northeastern Illinois University, Chicago, Illinois
Graduated with high honors
Member Beta Alpha Psi, San Diego State Chapter
BOARD EXPERIENCE
IntegriGuard, LLC Corporate Secretary
Board and Founding Member, Millbrae Education Foundation
Member of the Finance Committee, Aging Services of California
CERTIFICATIONS
Certified Public Accountant (CPA)
Chartered Global Management Accountant (CGMA)
Certified Government Financial Manager (CGFM)
APPLICATION FOR APPOINTMENT
AS CITY TREASURER
NAMEJo^i" O'Reilly
(Rease print or type) ra MAR - 1 2013
CITY OF CARLSBAD
Q-py. Carisbad 2IPC0DE 92009
PRESBfTOCCUPATION: ^"^"^Q^s Owner. Business Advisor.
BUaNESSNAME^'^eilly Wealth Advisors LLC
BUaNQSADDReSGEj
WORKPHONEI
.0. Box 130820 (92013)
U. S Otlzenship
Rssident of Csirisbad
RBgstered voter in G»1sbad
Four Year Deg^ in finance or Business
Four Years of Rnancfal Work Bcperience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar VMth the responsibilities asagied to the Oty Treasurer position.
I am willing to be Interviewed regarding my qualifications for appointment by a committee deslgiated by
the dty Gbundl or at the request of an individual CdundI Member.
I am willing to file financial disclosure statements as required by the date's or Qt/s Gbnfiict of Interest
Code&
I am willing to attend two hours of State Mandated ethics training every two yearsL
SGNATURE (jj^ 0/c(/(^ DATE '^ll Imi
In conaderation for the Qt/s review of my application for employment, I waive a^y rights and dams I may have against any current or
former employer or educational institution, any persons listed asa reference, or any entity from whom public records pertaining to me are
obtained, induding their officers, employees^ losses, liabilities, or expenses (which indudes attorney fees and costs) that may directly or
indirectly result from the disdosure to, or use of the above information by the Oty. I further agree that a photocopy of this authorization
may be used in lieu of the original for the purposes stated above. I also understand that 1 will be required to provide additional
information necessary for the verification of my voter reg'stration statusto the Oty Oerks Office.
5^
APPUCATION PORAPPOINTTVIBn-- PAGE2
.B.S. Mechanical Engineering, 3.5 GPA, University of Nebraska, BXJCAHON:
1982. M.S. Engineering Management, 3.8 GPA, Southern Methodist University, 1988;
essentially an MBA for engineers; it included finance and accounting courses. In
December 2006 passed Series 65 exam for registered investment advisors - a
direct alignment to the Treasurer's fiduciary investing duties. I already manage other's
assets (including Carlsbad citizens who voted for me) with a fiduciary standard of care.
EXPe9B<lCE Owner & financial advisor at O'Reilly Wealth Advisors since 2007.
Ran small business with P&L responsibility 1999 to 2002. Managed 50
engineers and 1/4 of large semiconductor factory with $800M in sensitive
equipment and large annual budget from 1996 to 1999. I have vast experience bringing
diverse experts together to achieve a common purpose while having the authority
to make the final decision - across many types of endeavors including financial.
COMMUNITYACnviTlEa^PP^'"*®^^^®'^®^ Envlslon Carisbad Citizens Committee. Palomar
Airport Advisory Committee appointee since 2007. Carisbad Citizens Academy graduate.
Candidate for Carlsbad City Treasurer 11/2010 with 10,727 votes.
Past/Founding Chapter President Teammates Mentoring serving youth in Carlsbad
and other North County locations. Active in my church, St. Elizabeth Seton.
^..^^.^^„„rr«^ l would proactively communicate with all involved.
ADOmONALINPORMATlON OROOMMBTTa ^ ^
Safety, liquidity and yield are my three main priorities in overseeing the $600M
in cash reserves. I would be a team player with the elected and city staff.
"7 h
JOHN J. O'REI
1^ i MAR - 4 2013
^ _ JAlJ
CITY CLERK'S OFFICE Carlsbad City TreaAuiei
Currently provide investing services (fiduciary level responsibility) to local families including Carlsbad residents.
Candidate for the office in November, 2010 with 10,727 votes. Design, build and balance model investment
portfolios. Experience includes executive, mid-management and individual contributor roles across a wide variety
of firms. Proven to adapt to the culture inside any organization. Unique ability to bring diverse teams together
collaborating on a common cause, gathering the best ideas along the way - and then make the executive decision and
stand by it. Community Leader: Envision Carlsbad Citizens Committee, Palomar Airport Advisory Committee,
Teammates Mentoring Board President, St. Elizabeth Seton Church, Job Transition Ministry.
PROFESSIONAL EXPERIENCE
2006 - present
Company Founder/Owner: Built new business from the ground up during challenging economic conditions.
O'REILLY WEALTH ADVISORS, LLC, Carlsbad, California
Provider of comprehensive fmancial services, licensed as registered investment advisor (RIA).
Developed multiple portfolio models, investment policy statements, investment plans and executed the
trades to build the portfolios and keep them balanced. Includes investing for corporate groups.
Speciflcally chose the more difficult, more transparent and tougher compliance standards required ofa
registered investment advisor because I believe people deserve a fiduciary standard of care.
Protect my client's portfolios by making sure each has a written financial plan, adequate cash reserves, an
estate plan and the right types and amounts of insurance of all types.
Portfolios perform well through a combination of low expenses and high diversification - a common sense
approach that too few advisors implement. We are rare in that we make sure that our clients get what the
market has to offer. Most try to get more than the market and then get less, often remarkably less.
SCHNEIDER ELECTRIC/SQUARE D, San Diego, Califomia
Leading supplier of electrical power distribution, automation equipment & services.
2003 - 2006
Global Business Development Manager: Led business development globally for start-up APC (Advanced
Process Control) Professional Services, Arc Detection Sensor Technology & Sensor Integration Business.
• Extended responsibilities globally; within one quarter, closed first European business at Advanced Micro
Devices and subsequent European deal at Crolles-2 (France).
• Formed and managed start-up global IBM/Schneider Alliance & launched it at SEMICON Japan.
• Marketed an aggressive product demo response to shut out long term on site competitor and closed $400K
PowerChip Semiconductor deal; a resuh of global IBM/Schneider Alliance.
SOUTHWALL TECHNOLOGIES, Palo Alto, California 2002 - 2003
Global manufacturer of engineered thin film coatings.
Worldwide Marketing & Communications Manager. Led newly formed global marketing operation.
• Led cross-functional team in design and implementation of RFP process that identified the best marketing
service agency selected by the CEO.
• Prepared strategic marketing plan to j ustify 2003 revenue proj ections to Board of Directors.
3'
John J. O'Reilly - Page 2
ION SYSTEMS, Berkeley, California 1999 - 2002
Manufacturer of clean air ionization for semiconductor, flat panel display & other industries.
General Manager, Semiconductor & Flat Panel Display Global Business Units: Responsibilities included
short & long term strategic marketing planning, product management, sales, business development, and P&L.
• Led successful new product development that achieved aggressive 6-month timeline and squashed
competitive threat. New product provided more than 50% of the business unit's growth from $9M to
$27M in first 18 months. Product "white-papered" by Intel as sole source solution.
• Created a business development opportunity with DuPont Photomask that resulted in new joint service
business & visibility in marketplace that led to $45M investment by Thomas Weisel meeting Board of
Director's goal of liquidity to cash out original investors.
• Designed retum-on-investment (ROI) software sales tool that was effective in convincing customers to
invest in Ion's products & services. Delivered the tool and trained the global distributor network on the
use of the tool. Requests for fab survey quotations increased 5X from 15% to 75%.
• Directed sales team in client meetings which resulted in request for multimillion dollar service quotation.
• Guided team that solved high profile customer concem regarding at-risk complex project. Created &
presented MSProject timeline demonstrating executable plan to customer's complete satisfaction.
• Led several fast-paced product development efforts for FPD industry, revenue grew by $7M to $12M.
SAMSUNG AUSTIN SEMICONDUCTOR, Austin, Texas 1997 - 1998
Major Korean conglomerate in electronics, semiconductor & other businesses.
Section Manager, Dry Etch Engineering: Directed the staffing, budgeting, technology transfer, equipment &
process maintenance, manufacturing ramp-up and ongoing operations management of 8" DRAM factory.
• Achieved aggressive staffing goal of hiring 40 top notch engineers & technicians in four months using
behavioral interviewing & teamwork with senior staff in a competitive employment environment.
• Developed a high performing team; invested 60 hours/quarter on performance reviews & coaching.
• Exceeded performance of HQ sister factory in equipment uptime and wafer throughput.
MOTOROLA ADVANCED PRODUCTS RESEARCH & DEVELOPMENT LAB (APRDL) 1991 -1997
Semiconductor Products Division of Mobile Phone Manufacturer in Austin, Texas.
Section Manager, Photo, Etch & Metrology Equipment Engmeering: Directed the staffing, training,
budgeting and equipment installation/maintenance 8 inch Wafer Development Factory.
• Project managed high stakes complex photolithography manufacturing equipment "swap out" in midst of a
factory start-up; exceeded schedule and performance goals.
• Reduced CD & process variation by implementing new photolithography equipment subsystem metrology
approach which was subsequently copied in other Motorola factories.
• Headed team installation and maintenance of 248 & 193 nm Cymer lasers on OCA, SVG-L & Nikon
Steppers/Scanners.
• Led equipment engineering at several source inspections of photolithography equipment.
EDUCATION
M.S. Engineering Management, Southem Methodist University; includes core MBA courses; finance, accounting.
B.S. Mechanical Engineering, University of Nebraska, extra coursework in grad level materials science & liberal
arts.
APPUCATION FOR APPOINTMENT
MOTY TREASURER
l^^^iy^g. Joseph Darren Lister "Darren" (Please print or type)
ADDRESS
Carlsbad
CITY: ZIP CODE: 92011
PRESENT OCCUPATION: Vice President of Marketing
BUSINESS NAME: Johnson Capital
BUSINESS ADDRESS:
WORK PHONE:
2601 Main Street, Inline, CA92614
U. S. Citizenship
Resident of Carisbad
Registered voter in Carisbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar with the responsibilities assigned to the Gty Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an Individual Council Member.
I am willing to file financial disclosure statements as required by the State's or Qt/s Conflict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
3/3/2013
SIGNATURE: DATE:
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use of the above information by the City. I further agree that a photocopy of this authorization
may be used in lieu ofthe original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
22)
APPUCATION FOR APPOINTMENT - PAGE 2
graduated from Brigham Young University with Master of Business Administration (MBA) EDUCATION;
degree. While attending I focused on all aspects of Business Administration including finance,
accounting, marketing and strategic planning. I also hold a Business Management Bachelor of
Science degree from Utah Valley University. Over the years, I have also attended additionai national
training and financing conferences such as the MBA (Mortgage Bankers Association) in San Diego,
Ca and ICSC in Las Vegas, NV
Currently, I hold the position of Vice President of Marketing at Johnson Capital, a
EXPERIENCE:^
$1.6 billion commercial financing firni. My responsibilities include creating strategic plans and
budgeting for marketing and PR expenditures. I also run my own consulting firm. My firm helps
clients formulate strategic plans for their businesses on time and on budget through use of
thorough analysis and comprehensive tracking of metrics.
One of my favorite activities included helping Mormon Helping Hands,
COMMUNmr ACTIVmES:
a statewide service project organized by The Church of Jesus Christ of Latter-Day Saints to
clean-up and improve various areas of Carisbad City. Additionally, through my experience teaching
graduate school classes, I have become a strong proponent of education so I frequently help
mentor and teach students.
Having been a consultant for many years, I understand
ADDITIONAL INFORMATION OR COMMENTS:
the diverse challenges involved with making budget allocations balance. I also understand how to
solve unscheduled challenges and develop innovative solutions.
APPUCATION FOR APPOINTMENT a MAR - 4 2013
AS CITY TREASURER
MAR - 4 2013
AS CITY TREASURER CITY OF CARLSBAD CITYC[;p/K'Rr^irp
(Please print or type)
NAME: Craig J- Lindholm
ADDRESS:|
ciTYiCarlsbad ZIPCODE;92008
HOME PHONE:! mobile:
EMAIL;
PRESENT r^rriiPATioN. Wealth Management Advisor
BUSINESS NAME: Northwestom Mutual Wealth Management Company
BUSINESS ADDRFssr 1500 Quall St. Suite 600, Newport Beach, CA 92660
WORK PHONE:
U. S. Citizenship
Resident of Carisbad
Registered voter in Carlsbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Confiict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE: i' JiM^ DATE:03/01/2013
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, induding their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use ofthe above information by the City. I further agree that a photocopy ofthis authorization
may be used in lieu ofthe original forthe purposes stated above. I also understand that I will be required to provide additional
Information necessary for the verification of my voter registration status to the City Clerk's Office.
5
APPLICATION FOR APPOINTMENT - PAGE 2
EDUCATION;
University of Minnesota-Twin Cities: June 1977
B.S. Business & Health Sciences
UCLA Anderson School of Business: June 2002
Certificate: Professional Designation in Personal Financial Planning
AIF: May 2012 Accredited Investment Fiduciary
Joined a Temecula headquartered medical device firm, Hudson RCI, November 1977. EXPERIENCE; j
Promoted and relocated to California in 1983 as National Sales Manager at the age of 29. Over the
following 15 years I held a number of senior positions, marketing and international sales. In 1997 a
senior executive team was formed to position the company to be sold. In 2000/01,1 prepared myself
to enter the field of financial services. In April 2005 I formed a wealth management team-we provide
comprehensive financial planning services, insurance, retirement planning and qualified plan mgmL
The Rotary Club of Carlsbad, a member since 2001. Served as President of COMMUNITY ACTIVITIES; [
our club 2004/05. Our club has a separate 501(c)(3) nonprofit foundation. Its focus is to raise funds
& award scholarships to Cartsbad's youth. I have served as a Trustee & Treasurer for our foundation
the past 6 years. I am the Immediate Past-Chairman & Treasurer for the Tri-City Hospital Foundation
and have served 12 years on this board. With my son I was active in Cub/Boy scouts.Troop 784.
Possibly the best decision that I made in my life was to ADDITIONAL INFORMATION OR COMMENTS: 1
choose Carisbad as my home when relocating my family in 1983.1 appreciate your thoughtful
consideration of my application to be the next Treasurer for the City of Carisbad. Thank you.
Hi
APPUCATION FOR APPOINTMENT
AS CITY TREASURER
i DWI
MAR - 4 2013
CITY OF CARLSBAD
CITY CLERK'S OFFICE
(Please print or type)
NAME; Bradley P. Newman
ADDRESS;]
QYYY: Carisbad ZIP CODE: 92008
HOME PHONE:
EMAIL;
PRESENT OCCUPATION: Consultant
BUSINESS NAME:^NR Financial Consulting LLC
BUSINESS ADDRESS: ^2238 S. 44th St., Phoenlx, AZ 85044
WORK PHONEJ
U. S. Citizenship
Resident of Carlsbad
Registered voter in Carlsbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be Interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an Individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Confiict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE: DATE
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, inciuding their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use of the above information by the City. I further agree that a photocopy ofthis authorization
may be used in lieu ofthe original for the purposes stated above. I also understand that I wiil be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
7
APPLICATION FOR APPOINTMENT - PAGE 2
Bachelors of Business Administration, University of Notre Dame
Masters in Business Administration, Arizona State University
EXPERIENCE: attached resume.
COMMUNITY ACTIVITIES: .Carlsbad Causes for Community
ADDITIONAL INFORMATION OR COMMENTS:
BRADLEY P. NEWMAN
SUMMARY
Accomplished senior executive with more than 32 years of varied experience
working primarily in the insurance Industry. Areas of expertise Include mergers and
acquisitions, operational & financial evaluation, re-engineering strategy,
implementation of procedures and communication with auditors, lenders, investors
and rating agencies. Extensive management experience Including positions as;
Chief Operating Officer, Senior Vice President and Chief Financial Officer. University
of Notre Dame-BA and Arizona State Universlty-MBA.
SELECTED EXPERIENCE
Board of Director and Executive Management Team
• Established corporate structure for optimum performance and creation of
shareholder value.
Determined strategic plans and performance metrics.
Updated corporate strategic plan based on market changes or competition.
Instituted and monitored corporate governance initiatives.
Communicated with investment bankers, lenders and rating agencies.
Implemented corporate compliance and accountability measures.
Senior Operations Executive with financial segment performance
responsibility
• Created pro-forma/normalized financial statements for acquisition/disposition
candidates used for valuation purposes.
• Responsible for financial planning, tax planning and operating strategies.
• Primary contact for auditors, SEC, insurance regulators, IRS and investors.
• Established internal financial management reports, budgets and metrics
necessary for performance measurement and forecasting.
• Negotiated and analyzed insurance agency contracts regarding commissions
and other compensation.
• Performed actuarial analysis of carrier reserves, for agency contingent
commissions and for cash flow forecasting.
• Managed $1 Billion investment portfolio.
Evaluation of operations for underperforming entities
• Re-engineered procedures and processes to increase operational
predictability and efficiencies.
• Assessed and reorganized corporate structure and staffing.
• Performed analytical analysis to project future financial performance.
• Recommended ultimate problem resolution or entity disposition with a view
to increasing shareholder value.
• Managed the due diligence process.
• Negotiated the terms of sale for non-core entities.
5^
BRADLEY P. NEWMAN Page 2
PROFESSIONAL EXPERIENCE
BNR Consulting^ LLC 2005-Current
Phoenix, Arizona
Professional consulting practice specializing In financial and legal matters for the
insurance industry.
Partner
• Structure and negotiate financial transactions for carriers and
agencies.
• Prepare expert witness testimony and reports for litigation and
arbitration.
• Dispute resolution, including mediation and alternative dispute
resolution.
• Assisting in wholesale transactions between carriers.
• Serve as arbitrator on insurance related matters between carriers and
brokers or clients.
• Provide health and property/casualty insurance consulting services to
businesses purchasing Insurance
U.S. Specialty Underwriters, Inc,
Mayfield Viliage, Ohio 2005-2007
Wholesale insurance agency specializing in Excess Workers' Compensation coverage
for self-insured workers'compensation employers.
Vice President
• Assisted In pursuit of capital restructuring alternatives.
• Seeking alternative carrier capacity.
• Expanding marketing efforts with a goal of doubling revenue.
• Performed competitive analysis and formed strategic differentiation
plan.
• Designed marketing campaign to facilitate revenue growth.
• Participated in due diligence and facilitated the sale of the agency.
n
BRADLEY P. NEWMAN Page 3
CBIZ Benefits & Insurance Services, Inc.
Leawood, Kansas 2000- 2005
CBIZ Benefits & Insurance Services, Inc. (CBIZ B&I) is a subsidiary of CBIZ, one of
the nation's leading providers of business services. CBIZ B&I is a national insurance
agency, currently ranked 15^^ in revenue by Business Insurance, that specializes in
property & casualty Insurance brokerage, employee benefits consulting and
brokerage and specialty insurance services through 26 locations.
Chief Operating Officer 2000- 2005
• Member of Senior Management team responsible for developing,
communicating and implementing strategic decisions.
• Developed and implemented policies and procedures for financial
management, including revenue recognition and coordinated
communication of SEC requirements.
• Managed compliance of Sarbanes-Oxley Section 404 for the voluntary
benefits agency.
• Directly managed national services agencies.
• Executed restructuring activities for under-performing locations
including personnel, operational, technological, and financial changes.
• Managed the restructuring and sale of multiple agencies.
• Various special projects as assigned by the President.
CBIZ, Inc.
Cleveland, Ohio 1997- 2000
CBIZ Is a publicly traded provider of business services, from accounting and tax to
benefits and insurance to a wide range of consulting services. The company was
formed in 1997 and grew by acquisition of small to midsized agencies and firms.
The stock is traded on NYSE, symbol CBZ.
Senior Vice President
President, Business Solutions Division 1999- 2000
• Directed all activities ofthe accounting, tax, valuation, advisory,
investment banking and medical management business groups.
Division revenue $350 million, 75 business units.
• Measured actual performance to corporate business plan and
implemented corrective measures.
• Personally managed analysis and restructuring of under-performing
units.
• Principal contact with investment banking entity to obtain new sources
of capital.
• Managed nationwide staff of 350 former managers/principals.
• Advisor to Chairman of the Board.
5'.
BRADLEY P. NEWMAN Page 4
Vice President
Benefits and Insurance Solutions Division 1998-1999
• Managed accounting and finance activities ofthe division. Division
revenue $170 million, 26 business units.
• Head of restructuring team.
• Leader on merger and acquisition team.
• Performed due diligence on proposed investments.
• Guided monthly financial review and business plan analysis.
• Communicated monthly and quarterly operating results to Chairman
and executive management team.
Mergers and Acquisitions 1997-1998
• Generated leads for possible acquisition candidates.
• Reviewed historical and projected financial results of candidates.
• Developed projected Internal rate of return and corporate yield
calculations.
• Presented qualified candidates to the mergers and acquisition team.
• Determined appropriate method for acquisition (i.e. stock, cash, or
combination).
• Worked directly with the Chairman of the Board to finalize
transactions.
Republic Western Insurance Company
Phoenix, Arizona 1980-1997
Property and casualty insurance company owned by AMERCO, the holding company
for U-Haul International. Republic Western is a nationally licensed carrier that wrote
general liability and property insurance for the rental industry, commercial package
coverage for small to medium size businesses, workers' compensation and excess
workers' compensation coverage and assumed treaty reinsurance.
Vice President and Chief Financial Officer 1985-1997
• Directed all finance, accounting, tax, actuarial and regulatory
reporting activities.
Responsible for managing $1 Billion investment portfolio.
Primary Insurance subsidiaries' contact for regulatory, investment
banking and external auditors during parent company IPO and
subsequent offerings.
Wrote insurance companies' management discussion and analysis for
S-1 arid all subsequent S-4 filings.
Negotiated agency agreements for one-third of annual revenue.
Principal contact for rating agencies, investment entities and
regulatory agencies
Held director position on the corporate board and three related-
company boards.
Analyzed and directed business and investment opportunities.
Managed execution of corporate strategic business plan.
BRADLEY P. NEWMAN Page 5
Investment Manager and Treasurer 1981-1985
• Managed fixed income and equity portfolios for two property and
casualty insurance companies and one life insurance company.
• Performed all treasury management functions and short term
investing.
• Scheduled corporate cash flow for capital and operating budgets.
• Performed due diligence on proposed acquisitions and Investments
including insurance companies, real estate, mortgage loan portfolios
and various limited partnerships.
• Prepared written and oral fiuctuation analysis of operating results.
EDUCATION
Masters in Business Administration, Arizona State University, Tempe, Ariz.
Bachelors of Business Administration, University of Notre Dame, South Bend, Ind.
5
March 4, 2013
Carlsbad City Council
City Clerk's Office
City Hall
1200 Carlsbad Village Drive
Carlsbad, CA 92008
Dear City Council Members:
Please find attached for your consideration a signed Application for Appointment as City Treasurer and a
detailed resume which highlights my career experiences. I am confident that I possess the skills
necessary to perform the duties required ofthe position of Treasurer. I look forward to the opportunity
to discuss my qualifications personally.
sincerely
APPUCATION FOR APPOINTMENT
AS CITY TREASURER fl MAR - 4 2013
mcLEF (Please print or type)
NAME; William (Jeff) Nagle
ADDRE2
CITY: Carisbad ZIP CODE; 9^QQ9
HOME PHONI
EMAIL.-I
PRESENT OCCUPATION: Investment Advisor
BUSINESS NAME:^P^ Financial
BUSINESS ADDRESS::
WORK PHONE:]
U. S. Citizenship
Resident of Carisbad
Registered voter in Carlsbad
Four Year Degree In Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Conflict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
.•«MAT.mr. rCj^'^c^ DATE: "^-^ 0^-2013
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any penions listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use of the above information by the City. I further agree that a photocopy of this authorization
may be used In lieu of the original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
t)
APPLICATION FOR APPOINTMENT - PAGE 2
EDUCATION .University of Colorado Boulder BA
National University San Diego MBA-Finance
FINRA registered
Series 7, 63, 24 licensed
EXPERIENCE: .Spelman and Co., La Jolla/AIG Advisors 1985-2006
LPL Financial 2006-present
Fixed income specialist, municipal bonds and government securities.
Managed trading activities and bond inventory for branch. Developed
retail client base. Currently manage over twenty million dollars of retail
client accounts.
COMMUNITY ACTIVmES; .Coached youth soccer.
Coached little league baseball.
Group leader YMCA Adventure Guides
Member Surfrider Foundation
Member Saint Elizabeth Seton Parish
ADDmoNAL INFORMATION OR COMMENTS: Marriod, 2 sons- PatricK (17) and
Shea (15). Resident of Carlsbad since 1993. Enjoy local recreational
activities including golf, tennis, fishing and camping.
5'
ni
APPUCATION FOR APPOINTMENT 1 MAR - 4 2013 HI APPUCATION FOR APPOINTMENT HI
AS CITY TREASURER ^ CITYOFCAmSBAD
(Please print or type)
NAME; Mack R. Christian
ADDRESS;I
QYPf. Carisbad
HOME PHONE:
EMAIL;
ZIP CODE; 92009
PRESENT OCCUPATION: Consultant
BUSINESS NAME:Se'^ Employed
BUSINESS ADDRESS;!
WORK PHONE
Carisbad, CA 92009
U. S. Citizenship
Resident of Carisbad
Registered voter in Carisbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
1 am familiar with the responsibilities assigned to the City Treasurer position.
1 am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Confiict of Interest
Codes.
i am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE:^ ^ ^(^ilJ^f^ AXAJ!^4A^^-^ DATE: 3/4/?^13^
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use ofthe above information by the City. I further agree that a photocopy ofthis authorization
may be used in lieu of the original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
6^
APPUCATION FOR APPOINTMENT - PAGE 2
EDUCATION; .Louisiana State University, Baton Rouge, LA
BS Business Adminstration, 1969, post graduate courses in accounting.
Many continuing education courses in the financial industry,
the real estate industry and the life/health insurance industry.
EXPERIENCE; P*^^^^ SOO attachod Resume,
COMMUNITY ACTIVITIES: .Knights of Columbus, LaCosta Youth Organization,
Chruch volunteer activities. Walk for Life, charity golf tourneys,
other local charity and Veterans events.
ADDITIONAL INFORMATION OR COMMENTS; .Hold Real Estate License, Life Agent
License, Certified Arbitrator for FINRA, Expired FINRA license
Series 7,24 & 65.
3-^
Mack R. Christian
2002 to present
1999 to 2002
1998 to 1999
1993 to 1998
1986 to 1993
1985 to 1986
1981 to 1985
1974 to 1985
1971 to 1974
1969 to 1971
Education
Professional Licenses
Personal
Independent Contractor
Founder, real estate, mortgage, contracting company, financing and leasing
mariceting company.
Sr. Vice President, LM Capital Group
As SVP Mariceting, responsibilities Included client servicing and marketing to
potential clients and consultants nationwide. Firm Is a $2.2 billion fixed
Income asset manager.
Managing Director-Marketing, Imperial Credit Asset Management
A fixed Income asset manager with over $750 million In assets under
management Responsibilities included developing and marketing a
specialized marketing program for the firm.
CEO, Chairman, Gasmaster International, Inc.
A company with patents for energy saving and emissions reduction devices.
Product is sold to large energy consumers woridwide.
Co-Founder, Caywood-Christlan Capital Management
A SEC registered investment advisor with $2.8 billion In high-yield fixed
income assets under management. Responsibilities included administrative,
marketing, and new product creation (CBO, etc.) and managing
approximately $280 million in fixed income assets.
Managing Director, The Pacific Century Group (A Security Pacific Bank
Subsidiary) Responsibilities Included sales and marketing to large institutions
for an $8.6 billion asset manager and managing a sales force for the Security
Pacific group of financial products.
Vice-President, EF Hutton
Institutional fixed income sales for the south central region of US, certain
international accounts and investment banking responsibilities.
Vice President, Merrill Lynch, Pierce, Fenner & Smith
Institutional fixed income sales
Assistant Vice President, City National Bank, Baton Rouge, LA.
Responsibilities included investment for the bank portfolio.
Lieutenant, US Army, Infantry Corp (AiriDorne)
Louisiana State University, 1969
BS Business Administration
Post Graduate Studies In Accounting
Califomia Real Estate & California Life Agent
Series 7, 24, & 65 license (expired)
Certified HNRA Arbitrator
Married 43 years; three children (31,34,39)
MacIc R. Christian
Professional HIstor
Supplement to the Resume for Mack Reed Christian:
Other Educational Experience:
In addition to a Bachelors of Science degree in Business Administration with a major In Mari^eting from
Louisiana State University, I also took 12 hours of postgraduate Accounting courses
when I retumed from active duty in the US Army. With undergraduate accounting
classes and postgraduate classes my total accounting courses totaled approximately
24 hours.
My professional training and education In the securities industry and as a registered investment
advisor included Series 7, Series 24 and Series 65 study courses and exams. Series 7
is certifying that you know the basic business laws associated with the securities
industry. Series 24 Is the exam required by FINRA to supervise employees within the
securities industry and concentrates on the legal aspect of the actions of the
employees In the Industry in general. Series 65 Is the certification required to act as
a registered investment advisor in all states. The Series 65 course and exam is
heavily weighted towards UCC laws regarding compliance, disclosure and securities.
My background also includes being certified as an Arbitrator for the Financial Industry National
Regulatory Association (RNRA). This is the self-regulatory agency of the securities
industry. I have been an art)itrator for approximately 25 cases involving securities
violations against licensed securities professionals. The Certification is a three-day
course In the laws of the securities industry and duties of an arbitrator for FINRA with
continuing education requirements quarteriy. To qualify for this position your record
in the securities Industry must be excellent.
My background as Managing Director of a Asset Management Company with 60 employees, founder
and manager of a Asset Management Company with 22 employees which Included
responsibility for managing approximately $250 million in fixed income assets,
President of a publicly traded company with reporting requirements to the SEC and
approximately 20 employees world wide and other positions of responsibility and
obligations qualify me as a person able to manage responsibility successfully.
These qualifications are In addition to my experience in the attached Resume.
Mack Reed Christian
CITY OF CARLSBAD - CITY TREASURER
APPUCATION FOR
MACK R. CHRISTIAN
City Clerk's Office
City Hall
1200 CaHsbad Village Drive
Carisbad, CA 92008
CITY OF CARLSBAD - CITY TREASURER
INFORMATION FOR APPLICANTS
(Please read before completing application)
The Carlsbad City Council is seeking applications from residents interested in fulfilling the vacant term ofthe
City Treasurer, ending in November, 2014. This position became vacant with the resignation of the current
Treasurer.
The position is part-time, with compensation of $1070 per month, plus a $200 monthly car allowance and benefits.
• QUALIFICATIONS FOR CANDIDATES:
Must be at least 18 years of age, reside within the corporate limits ofthe City of Carisbad, and be registered to
vote in the City of Carisbad at the time the application is issued; and
Must possess a four-year degree In finance or a business related field and four years
of financial work experience.
(Qualifications contained in Cadsbad Municipal Code Section 2.08.022)
Each qualified candidate will have the opportunity to present their qualifications to the City Council.
Applications must be filed with the City Clerk's Office by 5:00 p.m., on March 4, 2013.
Before applying, you should be aware of how much of your time you will have to devote. The City Treasurer is
responsible for carrying out numerous financial, accounting, economic and banking responsibilities what are
vital to the financial health of the City of Carlsbad.
Applications are valid for one year and are open for public inspection.
You will be required to file a financial disclosure statement if appointed to the position of City Treasurer.
You wiil also be required to attend two hours of State Mandated ethics training every two years.
Upon completion of your application, please mail or deliver the application to the following address:
City Clerk's Office
City Hall
1200 Carlsbad Village Drive
Carlsbad, CA 92008
Carisbad City Clerk
City Clerk's Office, City Hall
1200 Carisbad Village Drive
Carisbad, CA 92008
Please find attached to this letter an application for the position of City Treasurer-City of Carisbad.
Although the requirements are described In detail in the application and attached resume and
supplement my minimum qualifications are as follows:
1. Age Requirement: Born October 11,1946
2. Possess a 4-year degree in finance or business related field: Bachelor of Science in Business
Administration from Louisiana State University, Baton Rouge, LA in August 1969. Post graduate
studies in Accounting after return from military service in 1971.
3. Four years financial work experience: Experience in the financial asset industry since 1974.
Experience Includes analysis of securities, asset management, public company management, asset
company founder and other financial related positions.
4. I will file a financial disclosure statement if appointed.
5. I will attend the required two-hour State Mandated ethics training class if appointed.
Should you need additional information please contact me.
Regards,
Mack R. Christian
APPUCATION FOR APPOINTMENT
AS CITY TREASURER
(Please print or type)
NAME:Ro"Araujo
ADDRESSi
QfY: Carisbad^
HOME PHONEI
EMAILI
ZIP C0DE:^91L
PRESENT OCCUPATION: ^^'Q^ Financial Officer
BUSINESS NAME:M'^^'Q" Federal Credit Union
BUSINESS ADDRESS: ^^^^ Oboriln Drive, San Diego, CA 92121
WORK PHONE:l
U. S. Citizenship
Resident of Carisbad
Registered voter In Cartsbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an indhddual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Confltet of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE: DATE: ^^^^^ ^' ^^'^^
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attomey fees and costs) that may directly or
Indirectly result from the disclosure to, or use of the above information by the City. I further agree that a photocopy of this authorization
may be used in lieu of the original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
5
APPUCATION FOR APPOINTMENT - PAGE 2
EDUCATION;
MA, Economics, San Diego State University, (1987)
BS, Bus. Admin. (Finance), San Diego State University (1984)
Professional Designation - Chartered Financial Analyst (CFA)
EXPERIENCE;
2007/Present - Chief Financial Officer, Mission Federal Credit Union
Responsible for all aspects of Investments, Treasury, Finance, and Accounting for a $2.3 billion financial institution
1998/2007 - VP Investments, WesCorp Investment Services
Managed Fixed Income Investment portfolios for various clients with emphasis on safety and liquidity
1991/1996 - Investment Portfolio Manager, US WEST Inc.
COMMUNITY ACTIVITIES:.
2007/Present - City of Carlsbad Treasurer's Investment Review Committee (IRC)
Meet regulariy with the City Treasurer and staff to discuss the city's investment portfolio
2010/Present - Treasurer, Board Member, Monarch School Project, San Diego, CA
K-12 school for San Diego Homeless Children
I have been a member of the City Treasurer's Investment Review Committee
ADDITIONAL INFORMATION OR COMMENTS;
(IRC) for over five years and have an in-depth understanding ofthe City's investment program. In addition, I have over 25 years
of business experience in a similar capacity, include my cun-ent position as CFO for Mission Federal Credit Union.(continued on attached)
0
APPLICANT: RON ARAUJO
CITY OF CARLSBAD - CITY TREASURER APPUCATION
ADDITIONAL INFORMATION (continued from application)
1 believe that based on my experience in Treasury and Finance that 1 am uniquely qualified for the
position of City Treasurer for Carlsbad. This experience Includes:
Member. Carisbad Citv Treasurer Investment Review Committee (IRC) -1 joined the IRC In 2007 and
have been an active participant since that time. This committee has allowed me to develop close
professional relationships with each ofthe past two City Treasurers, as well as various staff members of
the city. I believe that I have consistently provided valuable advice and input to the committee, and
have worked with staff to ensure that the policies and activities of the Cit/s investment program are
managed to the highest standards of prudence. This has been a very enjoyable and rewarding
experience.
Chief Financial Officer (CFOL Mission Federal Credit Union - In 20071 accepted the position of CFO at
Mission Fed, one of the safest and most profitable credit unions in the nation. My responsibilities
include managing a staff that is responsible for all of the credit union's treasury, accounting, and finance
functions, the nerve center of any large financial institution.
My treasury responsibilities at Mission Fed include managing all aspects of the credit union's $1 billion
fixed income investment portfolio, as well as the credit union's borrowing strategies. This experience
has allowed me to make a valuable contribution to the City Treasurer's IRC as both Mission Fed and the
City invest largely in the same type of very safe and liquid investment securities. Mission Fed's treasury
group Is also responsible for managing all ofthe day-to-day cash needs for the credit union. In many
ways the responsibilities ofthe City Treasurer and Mission Fed CFO are parallel in that they involve
Investment management, cash management and banking relationships, borrowing, budgeting, and
accounting.
In summary, my responsibilities at Mission Fed, along with my prior 20 years of experience in treasury,
investments, and finance, have provided me with a great deal of business experience that has been
valuable to the city, and 1 have found It to be very rewarding.
Thank you for your consideration.
Ron Araujo
APPUCATION FOR APPOINTMEN
AS CITY TREASURER
(Please print or type)
MAR - 4 2013
CITY CLERK'S QFm
NAME: Barbara Levi
ADDRESS;
Qijy. Carisbad ZIPCODE:^2010
HOME PHONE:
EMAIL:
PRESENT OCCUPATION; ^Q^'Q* Media Tax Expert; CPA (self-employed, part-time)
BUSINESS NAME:jD^yitiD?^
BUSINESS ADDRESS; (work remotely, from home)
WORK PHONE;
U. S. Citizenship
Resident of Carisbad
Registered voter In Carisbad
Four Year Degree In Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar with the responsibilities assigned to the Gty Treasurer position.
I am willing to be Interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Conflict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE: ¥ AXKKmi^ \ i DATE;^^/^!/!^
In consideration for the Cit/s review of my application for employment, I waive any rights and claims i may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use of the above information by the City. I further agree that a photocopy of this authorization
may be used in lieu ofthe original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
/
APPLICATION FOR APPOINTMENT - PAGE 2
EDUCATION;
Master's in Accounting (MAcc), University of Hawaii, 2001
B.S. in Accountancy, University of North Carolina-Wilmington 1993
Directly Related Experience - City of Mason, Mason Ml (1983-1990)
EXPERIENCE; ^ 1 i 1
Worked 3 years as a Staff Accountant, was then promoted to Senior Accountant/Office Manager.
Held that position for 3.5 years. Responsibilities included short-tenn (<90 days) investments fbr the City, assisting with budgeting.
Familiar with fund accounting, fiscal accountability, govemmental budgeting, special revenue funds, etc.
other Experience - As the spouse of a (newly) retired Marine, my employment situation changed with each move. I have experience In a variety of areas:
Taught college tax and accounting courses, woriced in Federal budgeting, prepared taxes for CPA firms.and have been self-employed.
(None locally, yet) Coach with AYSO (soccer) club; Age Group Coordinator with AYSO;
COMMUNITY AcnvrriES: 1_
Treasurer - Friends of Mokapu (parent-teacher organization); Mokapu Math Superstars Coordinator;
Iwakuni PTA Vice-President; Police Athletic League Volleyball Coach; Running Club Volunteer;
Key Spouse Volunteer (USMC); Coach-Pitch Baseball Coach; VITA tax serw'ice coordinator;
various other activities induding writing newsletters, assisting with fundraisers, organizing drop-in daycare at gym.
_ C.P.A., State of Colorado.
ADDITIONAL INFORMATION OR COMMENTS: ]
/
APPUCATION FOR APPOINTMENT
AS CITY TREASURER
MAR - 4 2013
NAME: Margaret GInty
(Please print or type)
ADDRESS:!
^ijy.Carlsbad ZIP CODE; Q^QQQ
HOME PHONEj
EMAIL]
PRESENT OCCUPATION: "Q"^
BUSINESS NAME;
BUSINESS ADDRESS;.
WORK PHONE:
U. S. Citizenship
Resident of Carisbad
Registered voter in Carlsbad
Four Year Degree In Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
X Yes _ No
X Yes No
I am familiar with the responsibilities assigned to the Qty Treasurer position.
I am willing to be Interviewed regarding my quallflcatlons for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am willing to file flnanclal disclosure statements as required by the State's or CIt/s Conflict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
DATE: SIGNATURE:.
C
In consideration for the CIt/s review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which Includes attomey fees and costs) that may directly or
Indirectly result from the disclosure to, or use of the above Informatton by the City. I further agree that a photocopy of this authorization
may be used in lieu ofthe original forthe purposes stated above. I also understand that I will be required to provide additional
Information necessary for the verification of my voter registration status to the City Oerk's Office.
APPUCATION FOR APPOINTMENT - PAGE 2
EDUCATION; .Certified Public Accountant, 1992.
MS in Accountancy, Taxation. San Diego State University 1989
BS in Environmental Horticulture. University of CA, Davis 1984
Consultant for Public Ease, Carisbad CA. Assisted small CA business comply with new SEC regulations. EXPERIENCE:
st John's International School, Belgium. Athletic Booster Club Treasurer, volunteer elected position.
Callaway Golf Company, Carisbad CA. Tax manager for intemational tax, financial reporting and IRS audits.
Gary Yori<, CPA & Associates, Sandy UT. Tax preparer for a variety of Individuals and businesses.
University of Maryland, Singapore - Taught accounting courses to US armed forces personnel.
Price Waterhouse, San Diego CA. Tax sentor/staff performing tax work for San Diego businesses and Indivkluals.
In addition to my role as Athletic Booster Club Treasurer for three
COMMUNmr ACTIVmES: 1
years during our stay in Belgium, I have been a Girl Scout leader for many years in
Carlsbad, and active in the PTA.
I have lived in Carlsbad for the past 13 years, except for
ADOmONAL INFORMATION OR COMMENTS:..
a 4 year wori< assignment In Belgium. I would like to give something back to my city using my
experience and talents.
Maggie Ginty
Objective
A challenging and responsible position drawing on my talents and experience while serving the community.
Experience
Public Ease, Carlsbad CA - consultant 2/mi - 8/2012
• Helped small Califorma public businesses comply with new SEC regulations regarding ihe computerization
of financial statements.
st John's IntemaHonal School, Waterloo Belgium - AthleHc Booster Qub Treasurer 6/2009 - 6/2012
• Resporwible for the finances of the Booster Club, including reporting to the Board and business manager,
banking, fund raising and capital expenditures. Elected volunteer position.
CaUaway Golf Company, Carlsbad CA - Tax Manager ^2002 - ^2008
• Intemational tax planning and compliance, including US and intemational earnings and profits, intemational
and US reporting review and preparation, and foreign retum review.
• FAS 109/FIN 48 - key person in developing and implementing FIN 48 analyses and provision joumal entries
• Federal tax audit lead - managed the federal tax audit, including working wiih the IRS agent, and
researching and responding to issues. Traveled to Japan to negotiate with Japanese tax officials on an
intemational issue.
• Expatriate/Inpatriate assignments - Worked with employees on issues associated with international
assignments.
Callaway Golf Company, Carlsbad, CA-consultant S/2000 - 2/2X302
m US tax retum preparation
• Intemational tax issues - research and recommendations
• Federal tax audit support
Gary York & Associates, Sandy UT - tax preparer VL999 - 4/2000
• Prepared tax retums for individuals and small businesses.
University of Maryland, Singapore 11/1996 - 3/1997
m Taught introductory accoxmting courses to US armed forces personnel
Price Waterhouse, San Diego CA - tax senioi/staff 1/1989 - yi993
• US and state tax retum preparation for large and small corporations, partnerships, and high net-worth
individuals
• Performed audits of public companies to meet CPA requirements.
Page 2
Education
Certified Public Accountant, Califomia 1992
San Diego state University 1989
MS in Accountancy, Tax
University of California, Davis 1984
BS, Environmental Horticulture
Community Service
In addition to the aljove-mentioned position as Booster Club treasurer, I was a Girl Scout leader for many years
and in the PTA.
iil.
APPLICATION FOR APPOINTMENT
AS CITY TREASURER
NAME: Sunan L, Bemotas (PtAiSfi print or typ4
MAR - 4 2013
CITY CLERK'S QFFICP
ADDRESSiL
CfTYt Carisbsri
HOME PHONED
ziPCOPE! S200&-91S3
ff^NTOCCUPATlONi AaxHjntant
iUSINESS liiAMis Agttwiy imwtvwdi in. md fpuiwinfl ptrtnw gf, Biwil, a QiriWwwi bualrww fmm
1998 mrough 2012 wtHm i sold my 50% intmnt 10 my mmm upon saptration.
WOiUCPHONi:
S. dHzenship
Itesldentof (^rflsbad (Since 1973}
negistered voter In Cirisbid {Since 18Gi2>
x NO
x NO
x _Yes _ NO
.NO
_N0
Fotir Year Dc^iree in Ffn^nce or Buslnesi (B.S. - ManvQertai EconomlQiJLX Y«s _
V
lour Y^rs cf ^ndai Work Ei£p«rience ^ Y«
-Only a few buglnemi raiated Bachelor deflraei iiffarad at UC Davig: thii being one of them,
I mk famniar with the responslbflitresassTgiied to tiie Ctty lYeas^^ po^n.
t M willing to bft tmorviiwttd i^^iffi^ my qualifleiitiom ^ appointrntnt by a committal dtsl^natid by
tiie dtyCoundi or at the reipest of an indiiiriiuai eouncfl Mmbei.
I am willing to fie flnancfal d^losura ftitem«nU a» raquM by tha Stati's or City's Conflict of inHfait
€ode&
t m willing to atitad two bourn ol Stata Mandateil ^ia training avaiy Iwo yaarsL
juiiia&TtmE! QATE: 03/03/13
m oonslderatfon fbr the Ot/s reidew of my appiicBtion fior einployment, I walwe ariy rijgtits and daims 1 may have aplnst any oHrem or
f«^mere«plwr«r«dua«on«l InnJtulloii^ «ny persons lifted •$» reftetence, or m enHty Ihom whom puliHc rtcerdU pertaining to me ire
ofetiinidi ifidiidfiiithtfr omcin, tmplos^ l<*it«^ llibilltlti,or«xp«»« Nhrchifidiid«^«^ miydrrtctly or
WIrectfy result from the drsdkasure to^ orise cf the abcwi imfiiniiitlbn by the C%. I further q^nee iiiit a photocopy of thfe autiwrintion
may be used In lieu of lhe original Ibr the purposei stated above. I alsa understaiid ttiait I will be required to provide addhlDnal
informatton neMssaryfw lhe weriUcatloii of voter reglstratton statutlo the Oty Clerk's Offlee.
APPUCATION FOR APPOINTMENT - PAGE Z
EDUCATION . Bachelor of Science, Managerial Economics (U.C. Davis)
Various Continuing Education Courses, such as:
• SEC Accounting and Financial Reporting
Valuation of Businesses
• Accounting Information Systems
• Contract Law
Developed and guided banking, investment and risk n«inagenient strategies;
£AniilENLEr__^ , , ,
Thorough uncierstancf ng of ali facets budgeting (planning, Implementation and management);
Performed finandal analysis and audttB to claiHy ftrtandal innplications of proposals;
Expertise in accounting information ^stam controts and conversions including duplk:ata systems;
\A^ed with, ensured oomptianoe with, and report^ to state and federal government agencies;
Succe^fully held controller poeWons for several oompanies over the past 30 years
^r^t^r*. Charter PTA Auditor for Carlsbad sctK5ol {El Camlno Ci^k);
COMIMIUNirrY ACnvmESi Girt Scout Leader ftx Carlsbad Cadatta troop & activa In EncinHas Cub Soout Pacic 775
Assist vwth annual Red Nose Run benefitting Carlsbad% Fresh Start Surgical Gifts
Fundraising fc^ local taekwondo school region scholaiBhips (HULeeFoundation.org)
Since araduatino froin University of California
ADOmOWALil^OfWyiATIONOltCQMMiMTSi oniuc v|iguu«im^ HWIII winv^ioiiy of my employment and consulting over the past few decades have been
essentially involved in accounting and finance in several diflerent industries.
Full raaume for Suean L. Bamatai attached.
15
SUSAN L, BERNOTAS
SUMMARY
Multi-faceted financial professional specializing in GAAP accounting. More than two decades of extensive
accomplishments in Audit, Controllership, Infonnation Systems, and Operations Research. Strong skills in
managerial accounting, fmancial analysis, and the development and modification of sophisticated systems.
Highly motivated individual with comprehensive ability to solve problems and make decisions.
AREAS OF ACCOMPLISHMENT
Controller/General Management
Promoted from Accountant to Controller, of a large financial institution, in under five years based upon
exceptional performance in the areas of technical accounting matters, fmancial reporting, analytical
review, and organizational and supervisory skills.
Ensured accurate transition of largest Savings and Loan incorporated into the Resolution Trust
Corporation (RTC) accounting department.
Supervised both small and large staffs, from clerical through professional levels.
Recruited to manage the accounting department of the final savings and loan seized by the RTC and to
assist with the "fast track" closing and liquidation of the institution.
Member of mergers and acquisitions teams.
Participated in intercompany committees to determine company policies and procedures.
Served as company representative to negotiate and resolve issues wih govemmental agencies.
Responsible for organization and restructuring of departments to cut costs, while maintaining
efficiency.
Grew a small home based company to become an intemational provider of office management software
in less than 10 years.
mation Systems
Involved in several different system conversions, from the cost/benefit analysis through the parallel run
of the new and old systems.
Advised and reviewed Data Processing projects for compliance with accounting controls and general
ledger procedures.
Created a database of property tax information for several hundred parcels in numerous states and
counties.
Developed a program that tracked and analyzed cash held by third parties on over 100 properties.
Converted several manual subsidiary ledgers to automated entry systems.
Extensive PC and LAN experience in a variety of spreadsheet, word processing, accounting and
database software.
ations Research/Financial Analysis/Decision Support
Managed risk on $30M of futures commodities.
Performed and directed fmancial analyses on loan portfolio samplings to determine loss reserves.
Assisted auditors in examining special and/or complex transactions
Prepared annual business valuations.
Produced financial statements and Management Discussion and Analysis for SEC and shareholders
through the lOQs and lOKs.
Directed budgeting process by developing the plan, resolving technical issues, analyzing departmental
and consolidated results, and presenting the budget to senior management.
Developed a fmancial reporting package to secure compliance of a $350M FDIC Assistance
Agreement, one of the first such agreements in the naion.
Produced an audited, year end, fmancial statement in six weeks, when a major client needed to
refinance a $30M line of credit.
Planned and implemented procedures for compliance with Receivership accounting policies.
Info
Ope
Susan L. Bemotas Page 2
EXPERIENCE
BRASL, INC., Carlsbad, CA
An international software provider for tlie dump truck industry
Controller 10/00 - 7/12
FOXLEY COMPANIES., La Jolla, CA
A large multi-state agriculture corporation and various subsidiaries encompassing art and real estate development.
Controller 11/95 - 9/00
CONTINENTAL SAVINGS OF AMERICA, San Francisco, CA
A financial institution comprised of six retail branches and $400M in assets.
Assistant Controller 4/95 - 9/95
HOMEFED BANK, San Diego, CA
A financial institution whicfi fiad total assets in excess of$14B and a network of more than 200 branch offices.
Controller 2/94- 7/95
Assistant Controller 12/93- 2/94
Manager, General Accounting 12/92 -12/93
Accounting Operations Supervisor 7/92 -12/92
Senior Accountant, Real Estate Operations 7/91 - 7/92
Special Project Accountant 6/89- 7/91
FAIRFIELD INVESTMENTS, San Diego, CA
A small real estate syndication and management firm with six partnerships and ten property management contracts.
Independent Auditor 12/88- 6/89
PARTNERSHIP ASSET MANAGEMENT COMPANY, Rancho Califomia, CA
An accounting and management company for public real estate and investment partnerships.
Senior Accountant 7/87 - 11/88
Accountant 6/86 - 7/87
AMERICANA PROPERTIES, Los Angeles, CA
A small real estate syndication firm that developed and maintained over 30 entities.
Assistant Controller 8/85 - 5/86
EDUCATION
BS Managerial Economics, University of Califomia, Davis
Seminars and Further Education:
"SEC Accounting and Financial Reporting Course", Executive Enterprises, Inc.
''Valuation of Businesses", Califomia Society of Certified Public Accountants
''Accounting Information Systems", San Diego State University
"Contract Law", University of San Diego
APPUCATION FOR APPOINTMENT
AS CITY TREASURER
|n\E(DIEDWE
n MAR - 4 2013
U u
CITY OF CARLSBAD
CITY CLERK'S OFFICE
(Please print or type)
\JO\LL VAA<S CPA
ZIP CODE:
NAME:
ADDRESS:
CITY: C^kLs bAD
HOME PHONE:
EMAIL:
PRESENT OCCUPATION: Mo t c . pA^ ^^/^-» A/^Cl > AC AsO ^So<e
BUSINESS NAME: ^ ^ M . Cf^/KJiS, ^ 6a . ST/^*^
BUSINESS ADDRESS:.
WORK PHONE:
U. S. Citizenship
Resident of Carlsbad
Registered voter in Carlsbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
J^Yes
Yes
Yes
^ Yes
Yes
-No
_No
_No
_No
No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Conflict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE:^"/U^^-^^^'^^^ ' lo(jl£c^u^^^^ DATE: - 13>
In consideration for the City's review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational Institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use of the above information by the City. I further agree that a photocopy of this authorization
may be used in lieu of the original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
APPLICATION FOR EMPLOYMENT - PAGE 2
EDUCATION AA degree Police Science San Bernardino Community College, BS In Business
Administration, with a concentration in accounting - Cal State San Bernardino. California Certified Public
Accountant (license #36520) since 1982. Life time Community College teaching credential In accounting
subject matter.
EXPERIENCE Worked In public accounting from 1980 through 1991 as an employee, partner and sole
proprietor. Experience included audits of local governments and small businesses as well as general
consulting and tax services. Provided forensic accounting services to private companies, churches, and
governmental agencies including Riverside County Sheriffs Department with regard to employee theft.
Served as an expert witness and consultant for the Riverside County Grand Jury and District Attorne/s
office.
I served as the elected City Treasurer of Colton, CA for 18 years and was responsible for banking
services, cash management, and investments. In addition, 1 was the point of contact for bondholders
and prepared continuing disclosure forthe city's outstanding General Fund COP's, Lease Revenue bonds,
water, wastewater and redevelopment tax allocation bonds. I was a member of the city's finance team
for approving, structuring, and negotiating terms and conditions for debt including municipal leases,
COP'S and Lease Revenue Bonds for the city general fund, water, wastewater and electric utility.
When I Initially took office in 1988,1 terminated the contract with an outside money manager who had
control and management authority of approximately $8 million ofthe city's portfolio. About a year later,
the Principal of the money management firm, Steven D. Wymer, was arrested and prosecuted for theft
of client funds, much of It from California cities. I was asked by the Government Finance Officers
Association to testify before a congressional subcommittee regarding proposed investment advisor
Industry reform. My testimony was presented in June of 1992 in Washington DC.
I am a Principal of a consulting firm that provides services to California and Hawaii local government
agencies including special districts, school districts, cities, and counties. Our services Include feasibility
studies, debt capacity, and implementation of debt financing including negotiated and competitive sales
of COP'S, Lease Revenue Bonds, General Obligation Bonds, land secured Assessment District and CFD's
and tax allocation bonds. We provide reviews of banking services and investment policy and practices. I
served as the interim Treasurer for the Jurupa Community Services District for six months in 2009. This
investment portfolio was in excess of $100 million not including bond proceeds. We also serve on
several Oversight Boards of former redevelopment agencies for two of our school district clients. I have
continuously worked as a municipal financial advisor since 1991.
COMMUNITY ACTIVITIES I currently serve as the Treasurer of the Home Owners Association for
Portico at Rancho Carrillo. I also serve on the social committee for the Rancho Carrillo Home Owners
Association assisting with community events. I am a volunteer at the San Diego County Animal Shelter in
Carlsbad as a dog walker and other duties as assigned. 1 have been the Treasurer of a scholarship
foundation, 501C (3) in San Bernardino County for ten years that provides college scholarship funds.
7^
ADDITIONAL INFORMATION I served two years In the US Marine Corps from 1970 to 1972. The
majority of my service was as a scout with the 3^° Reconnaissance Battalion, 3"° Marine Division. 1 was
honorably discharged with the rank of Corporal.
7^1
ONE MUHOREO SECOND CONQKSS KOM HM 1«
I ran HOUSE OFTlCt tUILOMS
EDWAIO J.MARKET. MASSACHUSETTS. CHAmMAM MWKt pMjm-J«34
JAMES H. SCHEUER. HtW YO«K MATTMCVir J. MNAtOO. NEW JEPISEV U..W»T U aaniMu
:?i.^4;rT^H°rci«suNA gs^s^r^'S^^vSiif''""* IB.&, JbmUt of ISlepreientatibetf ^ucoSJ^rANVs'Sir^MCTo.
RALWM. MALL TEXAS TOOMAS J BULET. JR.. VIHOWIA ^ VVt^-V A« * VAirV«»«^M«^»V V# .r'S^H%K,I5^S?MEx,co iSS«'65S?.U Committee »« Cntrg? into Commerce
JIM StArrERY, KANSAS MICHAEL tlURAKIS. FLOMOA ^
JOHN StlVANT. TEXAS DAN SCHAErEH. (OLORADO
:S'<S!ii;iWE'SsTE iSSr/^I^Yo^c SUBCOMMITTEE ON TEtECOMMUNICATIONS AND FINANCE
THOMAS J.MANT0N. NEW YONK (EXOFflCIOI '
'.•^^X^ '^'''' WdHljtnston, nt 20515-^X10
RICHARO H. LEHMAN. CALIFORNIA
CLAUDE HAWUS. ALAtAMA Mair O O IOOO
JOHN D.OINOEU.MICHWAH TOaj
(EXOFFKIOI
Mr. Michael J. Williams
Treasurer
City of Colton
P.O. Box 1367
Colton, CA 92324
Dear Mr. Williams:
Thank you for agreeing to testify before t^e Subcommittee on
Telecommunications and Finance on Thursday, June 4, 1992, at 9:30
a.m., in a room to be announced. This hearing will focus on
inadequacies in the regulation and supervision of investment
advisers and financial planners, the growing problem of
unregistered advisers and planners, flawed and inadequate
disclosure requirements, the need for a private enforcement
mechanism in the law, and other related issues. Any experience
you have had with an investment adviser or financial planner will
be of interest to the Subcommittee Members, especially as that
experience may shed light on the above issues.
As you may be aware, I have circulated, along with Rep. Rick
Boucher, a Discussion Draft for comment by a range of interested
parties. This Discussion Draft represents an attempt by our staff
and the staff of the full Committee and the Minority, to address
the issues outlined above. The staff is currently evaluating the
comments we have received on the Discussion Draft and fine-tuning
the Draft on the basis of those comments. While we anticipate
several changes will be made to the text prior to its formal
introduction, we have nonetheless enclosed a copy for your review,
along with brief explanatory materials. We would welcome any
comments you have on the Discussion Draft as part of your
testimony.
Your written testimony may be of any length and contain
supplemental supporting materials. It should be typed, one-sided,
double-spaced and should include a one-page summary touching upon
the major points of the testimony. In order for Members of the
Subcommittee to ask questions of all witnesses, your oral
statement should be limited to no more than 5 minutes.
You should provide the Subcommittee with 100 copies of the
prepared statement prior to the hearing. These copies should be
delivered to the Subcommittee by close of business on Tuesday,
June 2, 1992, to the attention of Karen Colannino, This will
afford the Members and staff the appropriate opportunity to review
your testimony. An additional ICQ copies should also be brought
to the hearing room at the time of the hearing for distribution to
the public and press.
55
Hr. Michael J. Williams
May 22, 1992
Page 2
If you have any questions concerning your testimony or
appearance before the Subcommittee, please contact Elise Hoffmann
of the Subcommittee staff at (202) 226-2424.
I look forward to your testimony.
Sincerely,
Edward J. wnrkey a
Chairman
cc: Betsy Dotson
Enclosures
Eldon Horst
920 Big Briar Way
La Canada, California 91011
February 21, 2013
City Council
City of Carlsbad
Carlsbad, California
Reference: Michael J. Williams
This Is a letter of reference for Mr. Michael J. Williams, applicant for Treasurer, City of Carlsbad.
Mr. Williams was appointed Treasurer for Jurupa Community Services District (District) from
March through September 2009 during a period the District's treasurer position was vacant. In
2009, the District served a population of approximately 90,000 with water, wastewater, parks,
street lighting, landscape and graffiti removal services.
1 retired in January 2013 as General Manager at the District having been appointed In 2006. I
am familiar with Mr. Williams' work as Treasurer at the District. Mr. Williams oversaw over
$105 M In Investments and substantial bonded Indebtedness for the Districts neariy 40
Community Facilities Districts. He made monthly reports to the District's five-member elected
board. Mr. Williams also reviewed the District's investment policy and made recommendations
for improvement
I found Mr. Williams' performance to be very professional and objective in every way. This
period of time In 2009 was a particularly difficult time at the District. The District also had an
Interim Chief Financial Officer during this period. It Is with gratitude that I report that Mr.
Williams and the Interim CFO communicated well and collaborated very effectively in service of
the Board and community during this difficult time.
If you would like additional information, I can be reached by telephone at (818) 495-5919 and
by email: eldonhorst@gmdil.com
Sincerely,
Eldon Horst
Retired General Manager
Jurupa Community Services District
Rod LeMond, CPA
14205 Meridian Parkway
Riverside, CA 92518
February 26, 2013
City Council Members
City of Carisbad
Carlsbad, CA
Reference: Michael J. Williams
Dear Council Members:
This is a letter of reference for Michael J. Williams, applicant for Treasurer for the City of Carlsbad. I
have known Mr. Williams for over 25 years. During this time I had the pleasure of working with Mr.
Williams in his role as a city treasurer and as a financial advisor on matters of public finance for local
governments. I can say without reservation, that Mr. Williams is a very dedicated and highly
competent professional. I confidently endorse him as an applicant for the city treasurer position.
Until 2009, I was an audit partner in a national CPA firm. My duties included independent audit
services to local governments. In 2009,1 retired and took the position of Assistant General Manager/
Chief Financial Officer for Western Municipal Water District of Riverside County, Califomia.
My first association with Mr. Williams was when he was the newly elected treasurer of the City of
Colton, California. At that time, i was the City's independent auditor. I witnessed Mr. Williams' ability
to make many necessary changes to improve investment policy and strategy and upgrade
investment reporting. His leadership and credibility enabled better communication and education for
City leaders.
In our professional capacities, mine as an independent auditor and Mr. Williams as a financial
advisor; we often worked for the same local governments. Mr. Williams' role was to oversee and
secure necessary financing for capital projects and economic development. As the independent
auditor, we worked together to ensure that t understood the financing and its reporting impacts on
the local govemment. Mr. Williams always sought the best available solution for the client, placing
their strategic best interests first and foremost
Recently, Mr. Williams provided services to my district securing a sizable direot>pay letter of credit to
support our outstanding variable rate interest bonds. Through his efforts, we were able to
significantly reduce the fees we had been paying. His wori< required him to interact with and make
presentations to our Finance Committee and Board of Directors.
If you have questions would like to discuss some of Mr. Williams' attributes in depth, please call me
at 951-571-7220 or e-mail me at rlemond@wmwd.com.
Sincerely/^ / J
Kod LeMond /
AGM/Chief Financial Officer
Westem Municipal Water District
City of Carisbad City Council
1200 Carisbad Village Drive
Carlsbad CA, 92008
Re: City Treasurer Reference - Mr. Michael Williams
Dear Carisbad City Council,
My association with Mr. Michael Williams dates back to the early 1990's when I worked for the City of
Colton In the City Manager's Office and Mr. Williams was the City Treasurer. That relationship
continued Into the middle 20OO's when 1 was the City Manager and Mr. Williams continued to serve as
the City Treasurer. Since leaving Colton in 2009, approximately two years after Mr. Williams left, our
relationship continued with Mr. Williams' firm doing work for the City in which 1 currently serve as City
Manager, the City of Covina, as a Financial Consultant assisting the City's Water Utility in issuing water
revenue bonds.
Throughout my years working with Mr. Williams both as the City Treasurer and as a Financial Consultant
I have always found him to be conservative, fastidious and to be a man of impeccable integrity. Mr.
Williams is a trained Certified Public Accountant and has an excellent track record as a City Treasurer for
over 10 years in a California City and he shall no doubt manage Carisbad's Public Funds carefully and
conservatively.
Should you wish to consult with me further regarding Mr. Williams' qualifications as City Treasurer
please feel free to contact me at dDarrish(S)covinaca.gov or 626 384-5410.
Sincerely
Daryl Parrish
City of Covina
City Manager
No. 361614
CREDENTIAL NG. 25 6VV1LG02
Che California (tommumtg (Colleges
MICHAEL J.VVlLLI^iMS
Tlie Board of Governors of the Califomia Community CoUeges, acting in accordance
uHih the authority vested in it, awards to the person named above a
COhMLlNlTY COLLEGE LIMITED SERVICE CREDENTIAL
This document, earr^d hy meeting the provisions established by law and the requirements established by
the Board of Governors of the Califomia Community CoUeges, authorizes the holder to perform aU services
permitted hy these provisons and requirements.
T.UD'.»CCT liATTtR ARcA ACCOUNTING***
President, CaUfornia CoUeges
i L>ix 3LR, ICL IN A CGi iilUNlTV COLLLGE linlNThlNED BY THE
?AV BERNARDINO COMMUNITY COLLEGE DISTRICT.
VALID FOP LIFE
CllANCEUX>R
California Community Colleges
CAUTH-SA (UM||P SiiyiPQ
AUTHORIZATION FOR Sfl^lCC i . -J
This cr(»d«ntiol qutborizM 1h« holdfr lo imfivct courm in fubjoct fifTfo for
whkh fb« district cuiUM kb trfjininci an4 «xp«fiwifxi in 9 CpfWiiii^ ^^fi?9^
mointcwwd by tb« district wlOcb ||p«fe thf ctitilicalion. Th^ hio^: fj^^ff^tf^
any num|>fr of crwlit hour* u m mnom of 40 punm-^'ihf'^^l^^i^!^
comidsrad to b« o fulMim* c9iiaisp|mit of on Mfv<^ in^ |^ii^|<f)^^;^||^^ in
the distncl by «4ikb tho bpld^ i» ^fH»^^ i . . ^ >
CREDENTIALS MUST BE REGISTERED WITH THE COUNTY SUPWhfTENCfHT
OF SCHOOLS IN JHE COUNTY OF EMPiQYMENT.
APPUCATION FOR APPOINTMENT
AS CITY TREASURER
iff MAR - 4 2013
^VllY OF CARLSBAD CITY CLERK'S QFFinF
(Please print or type)
NAME; Jay Michael Williams
ADDRESS:!
QjY: Carlsbad, OA ZIP CODE:.???!?.
HOME
EMAIL
PRESENT OCCUPATION: .CPA
BUSINESS NAME:JayM. Williams, CPA
BUSINESS ADDRESS: ^9Q^ Wright PI, Sto 200, Carlsbad, CA 92008
WORK PHONEI
U. S. Citizenship
Resident of Carlsbad
Registered voter in Carlsbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
Over 18 years of banking and financial experience
X Yes No
X Yes No
X Yes No
X Yes No
X Yes No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am willing to file fmancial disclosure statements as required by the State's or City's Conflict of interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE: VZ^ / --^ QAJE: Q3/04/13
In consideration for thepy^s r/view of my application for employment, I waive any rights and claims I may have against any current or
former employer or edifcatlonal institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disclosure to, or use ofthe above Information by the Gty. I further agree that a photocopy ofthis authorization
may be used in lieu ofthe original forthe purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
G' 7
5^
APPLICATION FOR APPOINTMENT - PAGE 2
EDUCATION: .BS in Accounting, ASU 1997
Certifie(d Public Accountant 2000
EXPERIENCE: .Over 18 years of technical and leadership experience
relating to financial activities. Please see attached.
COMMUNITY ACTIVITIES: .Holds various leadership positions within Boy
Scouts, participated in nunnerous service projects, including
projects at Hope Elementary, Lake Calavera clean up, Oceanside
SUN Project. Leader in local Church, with 400+ members.
ADDITIONAL INFORMATION OR COMMENTS: Sorved two yoar voluntoor mission
for my church. My wife is a member of the Carlsbad CDBG
Committee. I am an Eagle Scout.
Jay Williams, CPA
Overview
More than 18 years of professional experience in the corporate accounting and technical preparation
and planning of taxes, accounting and cash management. Excellent analytical, negotiation, project
management and customer relationship and management skills.
Experience
1998 to Present Jay M. Williams, CPA Carlsbad, CA and
Phoenix, AZ
Owner ,
Started the accounting firm as a part-time endeavor with one client and expanded by referrals to
over 250 tax and accounting clients.
• By supervising a staff of SK, help clients meet tax filing requirements by completing Corporate,
Partnership, Trust, Estate, Individual, Payroll and Non-Profit tax retums.
• Prepare financial statements through compilations and reviews for owners, banks and the United
States Army. Qualified CPA with the Department of Defense for financial statements. Assist
with cash management and budgeting.
• Successfully negotiated with the IRS and State agencies regarding audits. In one scenario,
walked a multinational client through a completed IRS audit, including revenue recognition and
expense justification with zero adjustment
1999 to 2005 VistaCare, Inc Scottsdale, AZ
Controller/Tax and SEC Director
Joined VistaCare, Inc., a small Hospice with less than 15 sites and through acquisitions and same-
store growth, grew to over 40 sites nationwide, cuhninating with going public in 2003.
• Transitioned financial reporting fi-om Dallas, TX to Scottsdale, AZ. Hired and trained 25 staff
members to take over the day to day financial duties, including Accounts Payable, Accounts
Receivable and reporting requirements.
• Responsible for all corporate Federal, Multi-State and Local income tax planning and compliance
issues, including 19 states and multiple acquisitions.
• Responsible for Cash Management, Investing and Budgeting. Worked with Operations to set up
purchasing procedures relating to contracts.
• Coordinated with odier departments to calculate and disseminate financial information to the
hospice sites. By visiting the sites, was able to teach diem the critical aspects of financial results
and how these numbers can help them run the sites.
• Implemented computer systems conversion and training of Accounts Payable staff
• Negotiated with outside services for labor contracts.
• Responsible for financials delivered to company management and angel investors, including
expense accrual procedures and income recognition. Point of contact with extemal auditors and
oversaw all schedules to support the audit Assisted in SOX implementation.
• Responsible for all initial and subsequent quarterly SEC reporting requirements, including
dealing with bankers and lawyers and discussing salient points. Participated in earnings call with
Wall Street.
I)-
Jay Williams
1997-1999 Westem Air Intemational, Inc Tempe, AZ
Controller
Excellent hands-on experience in the planning and coordination of critical accounting and financial
records for this supplier of after-market airline parts. Oversaw cash flow and investing of daily and
long term funds. Acquired outstanding experience in virtually all facets of corporate accounting,
analysis and financial reporting.
• Implemented inventoiy system to correspond with accounting records.
• Discovered error fiom prior accountant, saving the company $250,000.
• Oversaw staff of three.
1997 KPMG Phoenix, AZ
Tax preparer
Worked in a contract employee capacity in preparation of trust tax retums.
• Facilitate accurate entry of data on form 1041
• Work with Wells Fargo on tax issues
• Was asked to woric past initial contract due to excellent performance
Education and Professlonai Licenses
B.S.-Accounting 1997 Arizona State University
Certified Public Accountant Arizona 2000; California, reciprocity paperwork pending
Volunteered two years for my Church in Switzerland, Germany and Austria; fluent in German; 1989
Member OC Swiss-American Society
References
References are available on request.
Q.5D
APPLICATION FOR APPOINTMENT
AS CITY TREASURER
MAR - 4 2013
(Please print or type)
NAME: Ryan Borck
ADDRESS:!
QjY: Carisbad
HOME PHONE:
EMAI
PRESENT occuPATiON:^Q*®s Manager in Healthcare
ZIP CODE:^2^''''
BUSINESS NAME:PQ^^way Genomics
BUSINESS ADDRESS;4045 Sorrento Valley Blvd. San Diego 92121
WORK PHONE
U. S. Citizenship
Resident of CaHsbad
Registered voter in Carisbad
Four Year Degree in Finance or Business
Four Years of Financial Work Experience
X Yes No
X Yes No
X Yes No
Yes No
Yes See Betow .,
No
I am familiar with the responsibilities assigned to the City Treasurer position.
I am willing to be interviewed regarding my qualifications for appointment by a committee designated by
the City Council or at the request of an individual Council Member.
I am willing to file financial disclosure statements as required by the State's or City's Conflict of Interest
Codes.
I am willing to attend two hours of State Mandated ethics training every two years.
SIGNATURE: DATE: 3/^/3
In consideration for the Cttfs review of my application for employment, I waive any rights and claims I may have against any current or
former employer or educational institution, any persons listed as a reference, or any entity from whom public records pertaining to me are
obtained, including their officers, employees, losses, liabilities, or expenses (which includes attorney fees and costs) that may directly or
indirectly result from the disdosure to, or use of the above Information by the City. I further agree that a photocopy of this authorization
may be used in lieu ofthe original for the purposes stated above. I also understand that I will be required to provide additional
information necessary for the verification of my voter registration status to the City Clerk's Office.
APPLICATION FOR APPOINTMENT - PAGE 2
Currently completing my MBA at USD with an emphasis In Finance, expected completion date May 2013. EDUCATION:
Previously completed my Bachelor of Science in Communications at The University of Texas at Austin in 2001.
For the past 10 years I have worked with clinical laboritorles across the country as a client sen/ioe representative, EXPERIENCE:
an outside sales person and as a sales manager overseeing outreach programs. In my professional and personal life, I have
always prided myself on being budget conscious along with planning for long-tenn goals, such as investing for retirement and short
to long-term Investment vehicles. I have served as the treasurer for my own real-estate business, currenlty
we own and manage four differnet rental properties across the country In Virginia, Texas and California.
I have always wanted to contribute to my community and as a recent transplant to Carlsbad, I
COMMUNITY AaiVITIES:
would look forward to the opportunity in learning on the job, the skills necessary to perform as the City's Treasurer. In previous places
of residence. I have coached youth soccer programs and volunteered for community sen/ice activities {including MS Fundraisers).
1 would like to serve the people of Carlsbad In any way I am capable. ADDITIONAL INFORMATION OR COMMENTS: 1__
1 am open to learning new skills and I very much appreciate your time in looking at my application. Thank you.
1 RESOLUTION NO. 2013-060
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27
28
2 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
CARLSBAD, CALIFORNIA, APPOINTING AN AD HOC
^ SUBCOMMITTEE TO REVIEW APPLICATIONS FOR CITY
. TREASURER AND SELECT APPLICANTS TO MAKE
PRESENTATIONS TO THE CITY COUNCIL
5
6 WHEREAS, due to the resignation of City Treasurer Jim Comstock a
7 vacancy in the position of City Treasurer is hereby declared; and
^ WHEREAS, the term of office in which said vacancy was created is due to
expire in November 2014;
WHEREAS, Carisbad Municipal Code section 2.04.030 provides that the
City Council may appoint a City Treasurer to serve the remainder of the unexpired term
within 60 days of the effective date of the vacancy; and
WHEREAS, nineteen applicants have applied for the position of City
j5 Treasurer position,
16 NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of
17 Carisbad, California, as follows:
1. That the above recitations are true and correct.
2. That the Mayor shall appoint the following members to an ad hoc
subcommittee to review the applications for the position of City Treasurer:
Council Member Blackburn
Council Member Wood
24 3. That the subcommittee will select between three and five of those
25 applicants to make presentations before the City Council at the March 19, 2013 City
Council workshop.
1
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PASSED, APPROVED AND ADOPTED at a Regular Meeting ofthe City Council
of the City of Carlsbad on the 12th day of March 2013, by the following vote to wit:
AYES:
NOES:
Council Members Hall, Packard, Wood, Blackburn, Douglas.
None.
ABSENT: None.
MATT HALL, Mayor
ATTEST:
N, City Cle
(SEAL)
Donna Heraty
For memben of tht:
qiTV COUNCIL, /
From:
Sent:
To:
Subject:
Attachments:
John O'Reilly <john@oreillywa.com>
Thursday, March 07, 2013 10:30 AM
City Clerk
Information from Treasurer applicant O'Reilly for City Council members
City Council 5 minute read from Applicant O'Reilly.pdf
Dear City Clerk,
Thanks for everyone's hard work In making sure that the City Treasurer application process is handled smoothly and
professionally. No matter what happens with my application, please know that I recognize and appreciate your
efforts. I still tell everyone how amazing the Clerk's office was when I ran for CT office in 2010. You're very
competent, professional and neutral - while being friendly. The City Clerk's office reflects very well on Carisbad.
The enclosed PDF document is for distribution to City Council on behalf of my application for City Treasurer. Thanks in
advance for providing It to them.
Have a great day,
John — ,
John O'Reilly
O'Reilly Wealth Advisors
A Registered Investment Advisor
E-Newsletter:
0:760-804-0910
CA Life Lie #0F41383
Date: 3/ii/i:^
Distribution:
City Clerk
Asst. City Clerk
deputy Clerk
Book
Honorable Citv Council Members
In lieu of the opportunity to give a 5-minute talk as a City Treasurer Applicant, I have prepared this
"S-minute read". / hope you find It helpful to get to know me and my intentions as a possible City
Treasurer.
1) FIduciarv Care/RIA:
• Unbeknownst to most, in the worid of Investment services, there are those that sell products and
make money on transactions. This represents the majority and they choose this path because It Is
easier, not because it Is better for the consumer. It requires less disclosure, less responsibility and
less documentation. By human nature, such compensation leads to loyalty to
products/transactions which leads to less than optimal results for the consumer.
• RIA's: Then there are Registered Investment Advisors (RIA) - by law, they must act with a
fiduciary standard of care. That means more transparency and either no conflicts or fully
disclosed conflicts. RIA's accept the responsibility to make investment decisions delegated from
their clients referred as "Investing with discretion". If you choose someone from the Investing
world; RIA is the way to go. Be wary, titles are misleading. "Frnancial advisor" can mean RIA but
more often does not.
2) Longevity: My intent, as long as the City Council and Carisbad citizens are happy with my
performance (and re-elect me), would be to serve additional terms beyond the initial vacated
term.
3) Council & Citv Teamwork: As a competent fiduciary investment advisor I manage my client's
expectations and provide an ongoing understanding to my clients on how their money Is invested.
I would get to know each council member and regularly meet to explain the current portfolio
activities in a way that works for each. I would become a trusted partner and teammate of
Deputy City Treasurer Nancy Sullivan and Finance Director Chuck McBride. I encourage you to ask
for Nancy's and Chuck's opinions on me as part of your due diligence. We met before I ran for
..office andagain last-Aw^ek asi did my due diligence. (Transparency!) We spoke of specific initial
high priority projects, our preferred working arrangements and my schedule being on site during
the week. In my business I vvb'rk'with a team of outside experts In delivering vetted
comprehensive acfvi^efS^a rriyr^B^^.^ This Is a natural process for me.
4) to'mmunicatloy^, l^have exteosiv^e^perience presenting In many different venues Including the
public stage and ex'ecutivVboardrooms - domestic and overseas. I have no fear or concern
presenting in Citf"(t6uncil -Meetings.
5) fit! How many people serve in a volunteer role doing exactly what they already do very well in
their business? I already do exactly what the City Treasurer does, just In a different environment.
I already write investment policy statements for Carisbad citizens. I already Implement Carisbad
citizens' investment plans. I already direct the execution of security trades. I already select
custodians and banks; and hold them to low fees and excellent service. I already help my
Carlsbad clients monitor their cash needs and make sure the cash is where it needs to be when It
is needed - moving money between their portfolio and their bank accounts. I am already doing
all of this! It would be fun to do this at the city level working with you. Deputy City Treasurer
Nancy Sullivan and Finance Manager Chuck McBride.
6) Pa«;sionforthe Citv: We chose to live in Carlsbad knowing that two years later our daughter
would be commuting 45 miles one way for four years of high school. I was a Carlsbad Citizens
Academy graduate before I completed one year of residency In Carlsbad. I cannot count the
citizens that have attended Academy with my encouragement. Not long after I was appointed to
the Envision Carisbad Citizens Committee (EC3) by Ann Kulchin. Before that 1 was appointed and
still serve on Palomar Airport Advisory Committee fPAAC). 1 already spend time on dais at
Carlsbad Council Chambers. It Is Important to have Carisbad citizens participate in the airport
decisions. I served two years as the founding board president of TeamMates Mentoring. I started
the Job Transition Ministry - a charitable grass roots group that helps the unemployed with free
high quality job search training. I am an active member of St, Elizabeth Seton Catholic Church and
the Knights of Columbus. The Knights of Columbus is very similar to Rotary in their extensive
charitable support of our nation.
7) Ultimate Passion: When several city leaders asked me to run for City Treasurer -1 took on a very
large task: running for office. This was at mid-campaign 2010 due to the sudden loss of Mac
McSherry - when many of my friends were already committed to working for other city-level
campaigns! I was my own finance manager. I spent about 14 hours/week for 16 weeks walking
precincts - almost every day, even in early season rainstorms and covered about 75% of the city
myself. You know all too well the commitment and passion required.
8) Flexibilitv: My business is consistently growing: 1 own a "boutique wealth management" firm
and take on new clients when they fit well. It's an exclusive club. I developed an outsourced
methodology that Is designed for ease of scaling to larger size. I will give the Treasury the
attention it deserves.
9) References: I may not know all the names in the city>- but I know quite a few and I have a very
good reputation as a straight shooter with whom people enjoy working. Some of them have sent
you e-mails. I have developed trust in others simply because I do what I say I am going to do. You
have received e-mails from pillars of the business community and average citizens. I am pleased
you are receiving testimonials on my character from such a cross-section of the community.
10) Fun: You have to be serious when you are overseeing $600M. But in doing the job it's Important
to smile and have fun doing it. I promise to bring a cooperative spirit, a generous heart and a
smile with me to City Hall.
Donna Heraty
From: Rob Campbell <hockeymusic.rob@gmail.com>
Sent: Thursday, March 07, 2013 11:18 AM
To: City Clerk
Subject: City Treasurer Position
Good Moming,
It's another beautiful day in Carlsbad! I'm excited about applying for the vacant City Treasurer's position. I've
been a proud citizen of Carlsbad since 1988, and would gladly accept a temporary appointment as City
Treasurer. I've enjoyed career of over thirty years in the fields of banking, securities and customer service and
would bring a transparent and accountable spirit to the position. I have a reputation as a
reliable, conscientious and dedicated employee and the city should experience nothing less from me as I would
welcome the opportunity to expand my role in our community. I've listed some references and pasted my
resume below. ' .
Thank you for your consideration,
Rob Campbell
References:
Brian O'Grady City of Carlsbad Parks & Recreation 760-602-7510
Paul Maxwell Former EVP of Trust Administration Services of Carlsbad. 303-550-9020
Michael Ostrowski President & CEO of STCU 413-896-2220
Greg Picone St. Elizabeth Seton Church of Carlsbad Parish Hall Coordinator 760-607-5025
Robert D. Campbell
7013 Via Califia
Carlsbad, CA 92009
(760)918-9424
(C)(760)519-0415
[E-mail: hockevmusic 1 ^.vahoo. com]
l^|ilp||^i^^Jpmlw^^
1
EXPERIENCE PROFILE
City of Carlsbad Senior Center October 2012 - Present
Part time Facilities Leader at the Senior Center. Responsible for preparation and breakdown of items
necessary for funcfions in the Senior Center and for monitoring activifies.
City of Carlsbad Senior Center & Other Positions May 2010-October
2012
Volunteer Driver for the delivery of hot meals to area Senior Citizens. Manned a Household
Hazardous Waste Hotline. Also volunteer with a local church providing services to Nazareth
Orphanage
In Tecate, Baja, Mexico.
Trust Administration Services Corporation, Carlsbad, CA July 2002 - March
2010
Vice President Client Administration / Customer Service
Responsibilities include:
- Supervise work procedures, set work schedules and.expedite work flow
- Hire, train, manage, develop and provide leadership and technical guidance to a cross
functional call center staff
- Ensure production problems are identified and resolved ih a timely and proactive manner
- ^ Monitor productivity of Call Center Administrators and review reports about the delivery of
inbound and outbound calls
Monitor service calls to observe the employee demeanor, technical accuracy and
conformity to company policies
- Supervise overall Call Center funcfions which require regular interface, cooperation and
communicafion with all company functions, customers and advisors
- Maintain harmony among employees and resolve grievances
H&R Block Financial Advisors (formeriy Olde Financial Corp.), Encinitas, CA April 1997- July
2002
Financial Advisor / Assistant Branch Ofifice Manager
Responsible for markefing a wide range of investment products and services in a discount
commission environment. Managed assets of approximately $20
million.
Dean Witter, San Diego, CA April 1996-
April 1997
Account Executive
Responsible for marketing a wide range of investment products and services. Promptly obtained
series 7, 31, 63 & 65 licenses and achieved all sales and asset gathering goals necessary to attend
home office training.
North County Bank, Escondido, CA July1993-August
1995
Mr^rtoaae Loan Officer Responsible for developing new residenfial loan volume in San Marcos
Escondido and Valley Center markets. Successfully established a presence and rapport with the real
estate and business communifies. Maintained a steady stream of loan closings in spite of a declining
lending environment.
Well Fargo Bank, San Diego CA 1988-1993
Pei-sonal Bankino Officer Responsible for the promotion of all banking services and products to area
consumers and businesses, i promptly completed PersonarBanking Officer School with a 90% tes
scoring average, and maintained an above average performance rating throughout my tenure. I
assisted our manager in training and managing new platform personnel.
EDUCATION & LICENSES
B.A., Double-Major in Economics and Sociology, Saint Lawrence University
Graduate studies toward M.B.A., Babson College
California Real Estate License
Certified in First Aid CPR & AED May
2010
Formerly a volunteer for the City of Carlsbad Senior Center
Donna Heraty
From: Pete Kruse <pjkca@att.net>
Sent: Friday, March 08, 2013 8:31 AM
To: City Clerk
Subject: Endorsement for John O'Reilly for City Treasurer
City of Carlsbad City Council,
I am writing to you reaffirm my endorsementfor John O'Reilly for the job of City Treasurer. I voted for him during the
general election and I endorse him again now. John is a diligent, hardworking, hard driving extremely competent and
detailed professional, who would make an excellent City Treasurer. His attention to detail, the ability to see the big
picture and his inclusion of others In his problem solving strategies will serve the community well. I have worked with
John on numerous charity events and he is the right candidate who Is passionate about serving and it is the right time to
put him in office.
Thanks for your consideration.
Pete
PETER J. KRUSE, PRESIDENT
KRUSE DEVELOPMENT SERVICES GROUP, INC.
3247 Smo OCEANO
CARLSBAD, CA 92009
TEL: 760-845-2400
EMAIL: pjKCA@AtT.NET
Donna Heraty
From: MARKJURECKI <markJurecki<a)sbcglobal.net>
Sent: Friday, March 08, 2013 8:36 AM
To: City Clerk
Subject: In Support of John O'Reilly for City Treasurer
Dear City Clerk:
Below is the e-mail I sent to the city councilmembers:
Dear City Council Member Blackburn:
Please appoint John O'Reilly Carlsbad City Treasurer to fill the current vacancy
John is a professional fiduciary who is deeply committed to serving his community.
He is a solid family man and a pillar of his church community. That is why I and
ten thousand other voters gave him our vote in the last election.
Please honor our selection and install John in this crifically important post.
Sincerely Yours,
Mark J. Jurecki
2719 Llama Ct
Carlsbad, CA
Donna Heraty -
From: Mariene Towns <townsm8@gmail.com>
Sent: Friday, March 08, 2013 9:01 AM
To: City Clerk
Subject: Appoint John O'Reilly as City Treasurer
Honorable Mayor Hall and Members of the Carisbad City Council:
My husband and I respectfully request that John O'Reilly be appointed as City Treasurer. Investing ofthe more than
$600M is a major function of the City Treasurer and we are confident that John's experience is well-matched to the part-
time City Treasurer's fiduciary responsibilities.
You have our sincere appreciation for all that you do to keep Carlsbad a great place to live and work!
Best wishes,
Mariene and Jim Towns
760.546.8434
Donna Heraty
From:
Sent:
To:
Subject:
Elena Di Ventra <diventra@sbcglobal.net>
Friday, March 08, 2013 9:30 AM
City Clerk
John O'Reilly for City Treasurer
To wliom ir mighr concern.
my name is Elena Di Ventra. I'm a Carlsbad resident and 1 would like to express my support for tiie appointment ol
joliJi CVReilly as Clt)'Treasurer. Please respect my vote fo
I have the pleasure of knowing Joh n personally and 1 truly admke his honesty and professional expenence.
Thanks for your attention.
Sincerely yours,
lUena I!)i Ventra
Donna Heraty
From:
Sent:
To:
Subject:
Johnpullmn@aol.com
Friday, March 08, 2013 10:51 AM
City Clerk
John O'Reilly for City Treasurer
To whom it may concern:
I have known John O'Reilly for the better part of the last ten yegrs and
I find him to be honest and trustworthy. I recommend John for the job
of Carisbad City Treasurer.
Sincerely yours,
John Pullman
2914 Managua Place
Carlsbad, 92009
Donna Heraty
Jim Daniels <Jad92009@roadrunner.com>
Sent: Friday, March 08, 2013 3:04 PM
To: City Clerk
Subject: John O'Reilly for City Treasurer
1 voted for John O'Reilly in 2010 for City Treasurer. I have known John since shortly after he and his
family moved to Carlsbad through church and church organizafions. I have always found John to be a
man of honesty, integrity and willing to help in any of our dealings.
1 think John's engineering educafion and work experience, both in engineering and as a financial
adviser, gives him the analytic ability to understand the many details of the risk and reward of various
potential investments to the city allowed by federal and/or state laws. With this background, he would
be in an excellent position to give the proper advice to the City Council in decisions relafing to the
investment ofthe city's $600M in cash reserves.
I was an early potenfial client to John's investment advisory business, but chose to handle my own
investments since I felt qualified to do so and I enjoy it. However, I do find John's monthly newsletter
of value both for any new informafion or confirmation of what I am already doing.
I urge you to select John O'Reilly as the next City Treasurer.
James Daniels
3144 Avenida Olmeda
Carlsbad, CA 92009
760-420-5500 Cell.
Donna Heraty
From: Harvey Periman < hperlmanl@unl.edu> j
Sent: Saturday, March 09, 2013 10:21 AM Agenda ItOII §Ji^
To: City Clerk Forthe members of the;
Subject: John O'Reilly and the position of City Treasurer CITY COUNCIL,
ACM \7DCM_CA1,^!C^
Dear Sir/Madam:
Dateg/zrCity ManagerJlli
I am writing a shod: note on behalf of John O'Reilly's interest in being appointed to the vacancy created by the
resignation of your City Treasurer. I hope you would forwai-d this to the members of the City Council.
John O'Reilly is a graduate of the University of Nebraska. For the last several years, John has actively volunteered as a
leader in our alumni chapter in San Diego. Some volunteers merely like the title.. John has thrown himself Into the
efl^ort and Is very actively Involved in our efforts to build our chapter. He is a hard and smart worker on our behalf. I
know he has also worked hard on behalf of the TeamMates Mentoring program, a program begun by Tom Osborne, our
former football coach, and his wife Nancy.
In short it is not surprising to me that he is Interested In public sen/ice and I am confident he would fulfill his
responsibilifies with passion and integrity. I hope you give him your careful attenfion.'
Harvey Periman
Harvey Periman
Chancellor
201 Canfield Administration Building
University of Nebraska-Lincoln
Lincoln, NE 68588-0419
Ph: 402-472-2116
Fx: 402-472-5110
Hm: 402-486-0776
Donna Heraty
From: Pat McCready < patrickemccready@yahoo.com >
Sent: Sunday, March 10, 2013 7:16 PM
To: City Clerk
Subject: John O'Reilly for Treasurer
I Wish to say that I whole heartedly recommend John O'Reilly for the role of Carlsbad City
Treasurer. I have known John for several years and found him to be a very thorough and
professional individual. With his background as a financial advisor, I believe him to be very
well qualified for the role and one who would serve the city well.
Sincerely,
Pat McCready
patrickemccready(Q)yahoo.com
(858) 583-2323
Donna Heraty
From: Joe Clinton <joeclinton43@yahoo.com>
Sent: Sunday, March 10, 2013 10:58 PM
To: City Clerk
Subject: John O'Reilly for treasurer
I would like to recommend that you choose John O'Reilly as Treasurer. I have known him as a Knight of
Columbus at the Saint Elizabeth Seton Catholic Church for the past 3 years. I see him as a bright, energetic
man who is a real asset to our community.
Sincerely,
Joe Clinton, DDS
Kira Linberg
From:
Sent:
To:
Subject:
Nigel M. Lobo <iobonv@yahoo.com>
Tuesday, March 12, 2013 2:43 PM
City Clerk
City Treasurer - John O'Reilly
AU Receive-Agenda Item #. 12-
For the Information of the:
Asst.CM_CA CCfii^
Date^ CityManag(
Dear Carisbad City Council:
We would like to share our recommendation and endorsement for John O'Reilly for City Treasurer.
John is an extremely capable financial professional with all ifthe intellectual horsepower to deliver results. He possesses
the highest levels of Integrity, accountability and is extremely trustworthy - critical attributes for the City Treasurer
position.
As Carisbad residents, we would be honored to have John O'Reilly represent us as City Treasurer.
Thank you for the consideration.
Nigel 8i Vinita
Nigel 8c Vinita Lobo
1679 Fisherman Drive
Carisbad, CA 92011
760-707-6933
Date:.
Distrlbutibn:
City Clerk
Asst. City Clerk
Deputy Clerk
Book
All Heceivs-Agenda Item #
For the Information of tlie:
Kira Linberg CITY cpJNCH. .
From: Mickey Christian <mackreed@roadrunner.com>
Sent: Monday, March 11, 2013 5:22 PM
To: Council Internet Email
Subject: Memo From City Treasurer Candidate to the Mayor and Council
Date: s/l^/l^ To: Council(a)Carlsbadcavgov w^. ^ . /-
^ Distribution:
Mayor Matt Hall City Clerk
Mayor Pro Tem Mark Packard A p:* pi^-r, 7"
Council Member Keith Blackburn ^ ^'^''^
Council Member Farrah Golshan Douglas Oeputy Clerk
Council Member Lorraine Wood 3ook ^
Mr. Mayor and Council Members:
You have been charged with screening a large number of people in a short period to avert a costly
election for the City Treasurer's posifion. Respectfully speaking, a brief interview will not disclose my
experience for you to make an informed decision. For that reason, I have committed to writing my
experience that should interest you when making your judgment about the Treasurer's Office. I am a
candidate seeking the position but I am also a resident of Carisbad and want you to make the right
decision.
Professional Experience Pertaining to the Position of Treasurer, City of Carisbad:
After LSU and the US Army, my career began as an Assistant Vice President of City National Bank in
Baton Rouge where I worked with the Chairman on the investments for the Bank and handled the
State of Louisiana accounts. That contact with the state accounts lead to a position as an institutional
fixed income specialist with Merrill Lynch and later EF Hutton. As an institutional account executive,
my specialty was fixed income corporate and treasury securities. My accounts included Texas
Teacher's Retirement, Texas Public Employees Retirement, Louisiana Teachers Retirement, Nevada
Public Employees Retirement, several insurance companies and even a foreign nafion's monetary
agency. Each entity would have from 5-20 portfolio managers that specialized in specific areas of the
capital markets. My value to these large investing institutions was knowing every basis point spread
relafionship and the credit of every bond in their portfolio. My world revolved around studying
prospectus of fixed income issues and reviewing spread relations between different sectors ofthe
fixed income market.
In 1984, I took my knowledge, experience and family and moved to Carlsbad to join The Pacific
Century Group (A Security Pacific Corporafion). This Company intended to be an all-star bank
investment adyisory.ficra but compensation problems prevented it from succeeding. San Diego
County investment advisors Nicholas-Applegate, Duncan Hurst Capital Management, Caywood-
Christian Capital Management antlleyeraI other investment advisory firms developed from that
oi^anization. ^^^56^: r^-r^'^.i
C^ywood-Christian Capital Management, a SEC registered investment advisor, formed in 1986 to
m^nage fixed income assets ter institutional accounts. The late Jim Caywood and I came from the
same fixed income-tmihing M-M^ltlivhch. As we grew to managing $2.85 billion in our institufional
accounts, we divided 9^ur^,^esponsibiyf(^s and I managed approximately $250 million in high-grade
fixed income portfolios and approx irri ately $200 million in the short-term investment-grade cash
management account. Our accounts included corporate refirement systems, public retirement
systems, insurance companies, Savings and Loan Associafions and government agencies.
Some notable accomplishments of our firm are worth menfioning. As the Savings and Loan crisis
unfolded, Caywood-Chrisfian was hired by the Resolution Trust Company (RTC) to manage and sell
seized fixed income assets from closed Savings and Loan Associations. Our firm also developed the
first Collateralized Bond Obligafion (CBO) ufilizing high-yield bonds as collateral. This investment
underwrifing took about ten months of working with the rating agencies and investors to develop a
structure that would satisfy each. We grew to manage about 10% of the assets of the high yield
marketplace, which made us one of the largest high yield fixed income managers in the worid. Our
intense research style ser^^gl. us welJi
As Co-Founder, 1 was on the ihyestment committee, ran the day-to-day operations of the Company,
marketed the company to the world,* developed new products such as the CBO, managed the client
reporting and servicing and managed the high-grade portfolio. If I am not mistaken, this sounds
similar to what you are asking of the Treasurer of the City of Carisbad.
1 sold my interest in 19194 and worked at various consulting positions in the security business raising
funds fpr beginning companies, acquiring loans for companies, marketing the asset management
disciplines for start up companies and other securities related projects. For the last 10 years 1 have
also be involved in real estate and mortgages.
The Investment Policy of the City of Carlsbad is outstanding. The portfolio is very risk adverse with
very little credit risk and very litfie interest rate/duration risk. I would like to review the counter-party
arrangements you have with Union Bank and Wells Fargo to make sure the use of counter-parties
complies with your Investment Policy. Your municipal bonds have an Aa2 rafing, which is
excellent. The new Treasurer should look at restructuring the interest rates on certain issues, if
possible. The City of Carisbad has only fixed income investments and fixed income bond issues. My
experience in that area of the capital markets would benefit our City.
Professional License and Certifications:
FINRA license Series 7, Series 24, and Series 66 (not active)
State of California Life Agent License
California Department of Real Estate Agent License
Certified Arbitrator for FINRA
Personal Information:
Bachelor of Science Degree in Business Administration from Louisiana State University 1969
Varsity Football Letterman, Sigma Alpha Epsilon Fraternity
US Army (Airborne) Ofl^icer 1969 to 1971, service disabled veteran
Married to Susan since 1969, three daughters and eight grandchildren
Active member of St. Elizabeth Seton Catholic Church in Carlsbad
Active member and Past Grand Knight of the Parish Knights of Columbus
Active in many local youth, charity and men's organizations
Resident of Carlsbad since 1984
Respectfully submitted,
Mack R. ''Mickey" Christian
Tel: 760-448-5179
Cell: 760-889-2306
Fax: 760-652-4052
mackreed@roadrunner.com
Date:
Distribution:
City Clerk
Asst. City Clerk
Deputy Clerk
Book
Donna Heraty
From: Emily Wheatley <auntieem0426@hotmail.com>
Sent: Tuesday, March 12, 2013 10:49 AM
To: City Clerk
Subject: In Support of John O'Reilly for City Treasurer
Honorable Mayor Hall and Council. I highly recommend Mr. John O'Reilly for the open City Treasurer position
for Carlsbad. He is completely qualified by experience, training, and education to perform all responsibilities
of the Treasurer. Further, he is a man of fine character and ethics who will well represent the City in all
dealings. Please consider appointing John to this open position without hesitation. Thank you.
Emily K. Wheatley
3610 Catalina Drive
Carlsbad 92010
"1 love Uie man that can smile in trouble, that can gather strength from di.stress, and grow brave by reflection,., he whose heait is firm and whose
conscience approves his conduct will pursue Iris principles unto death." —Thomas Paine
.16.,
Donna Heraty
From:
Sent:
To:
Subject:
Samuel Sher <samuelsher@gmail.com>
Monday, March 11, 2013 7:13 PM
City Clerk
I endorse John O'Reilly for City Treasurer
— ^1 IIII AU Receive-Agenda Item #.
For the Information of the:
CITYCOL-NCIL /
Asst. CIvlV CA_i:itc_
Date City Manager
Dear City Council Members:
We would like to share my endorsement of John O'Reilly for City Treasurer with you. We know him to be an
excellent fmancial manager, of the highest moral and ethical character. He would be an asset to Carlsbad.
Sincerely,
Samuel and Jayne Sher
2612 La Gran Via
Carlsbad
Date:
DistributicNn:
City Clerk
Asst. City Clerk
Deputy Clerk
Book
3//^^7/3
^or theTnformation ofthe*
CITYCqyNCPi' ' /
Asst. ClVUi^^Ai^Gu^
JEFFRE N. SEGALL P«*«^iLcityManager^^^
1353 Corvidae Street, Carlsbad, California 92011 jefrsegall@roadrunner.com
760-419-4901
March 2,2013
Dear Maj^br Hall and Members ofthe Carlsbad City Council:
I am in support ofthe appointment of Craig Lindholm for the remaining term of City
Treasurer.
I have known Craig for 15 years and find that he is a person of integrity.
I met Craig in the Carlsbad Chamber of Commerce where he and I participated on
several committees. As a member ofthe Carlsbad Rotary Club, I had the honor of
recruiting Craig as a new member. Craig went on to become President of that Club,
a position he was elected to because of his dedication to the organization, his strong
inclusive leadership skills and his ability to work with all stakeholders. Craig is a
master in establishing consensus and building relationships and trust with those he
comes into contact with. Anyone who dedicates his life to serve as Rotary President
for one year -fifty-two meetings minus a few days off for fiolidays - has my complete
admiration! It shows commitment and a strong belief in the cause.
Another cause of Craig's is the Trl-City Hospital Foundation. I had the privilege of
serving on the Board of Trustees ofthe Foundation with Craig and then worked
closely with him and the Foundation as a staff member with Tri-City Medical Center.
Again, the qualities that positioned Craig for President of Rotary also positioned him
to serve as President ofthe Foundation. Through Craig's keen knowledge of
financial issues, the Foundation benefited not only from his vision and leadership,
but from his thorough knowledge of investments and asset protection. The typical
term for President is one year, but due to some transitional issues, Craig was asked
to continue on as President for another year or so, a task he agreed to with
commitment, perseverance, vigor and dedication.
These are all qualities that will serve Carlsbad well in our next Treasurer.
Please include me as one of many community, civic and business leaders, and
residents, who know and appreciate Craig for his accomplishments, both in the
financial world and the civic and philanthropic community, and as such,
unconditionally recommend him for Treasurer. .
Sincerely, Date: S/lQ^/l:^
Distribution: '
Jeff Segall City Clerk
Asst. City Clerk
Deputy Clerk
Book