As co-founder of both CFS and its sister company Sorrento Pacific Financial LLC (SPF), Valorie Seyfert has more than 25 years experience in the securities industry and is a member of the California Bar Association. Previously, she had a law practice specializing in securities regulations, contracts and corporate law. Ms. Seyfert, a winner of the 2008 Ernst and Young Entrepreneur of the Year award in Business Services for San Diego County, is a frequent speaker and a recognized expert on the structure and strategy of successful investment services programs in financial institutions.
COO and Co-founder
With Valorie Seyfert, Amy Beattie co-founded both CFS and its sister company Sorrento Pacific Financial (SPF). Ms. Beattie has more than 30 years experience working in the operations and administration of successful brokerage operations. Previously, she was responsible for operations of a regional bank broker dealer, and before that a large independent brokerage firm. She is a strong project manager and has been instrumental in guiding the development of the technology systems that have elevated CFS to a leading position in the credit union and brokerage industries.
EVP, OSJ and Training
Rick Dahl has been in the financial services industry since 1982. After gaining valuable experience as a registered representative, he has held several executive-level positions, including SVP of operations and chief compliance officer for Sorrento Pacific Financial. With several securities licenses and a former CFP, Mr. Dahl has an insider's perspective on the financial advisory role. He has primary oversight responsibilities for Sorrento Pacific Financial compliance, and Branch Supervision and Training for CFS.
EVP and Chief Financial Officer
Dan Kilroy has more than 20 years of experience working with broker/dealers and investment management firms. He brings expertise in corporate financial planning and analysis as well as business development and management reporting. Mr. Kilroy is responsible for oversight of finance, accounting and commissions.
EVP, Program Development
Kevin Mummau has more than 30 years of broad experience in the brokerage industry. His diverse background covers many facets of the securities industry including trading, supervision, operations, compliance, retail, and branch management. Most notably before joining CFS, he served five years as the corporate OSJ and regional manager for a major independent broker dealer, responsible for supervising the production of 80-100 branch offices. Mr. Mummau oversees our relationship management team, managed investment programs, and program development initiatives. His group focuses on helping our clients integrate best practices to bring investment services to more members within credit unions individually and as a whole.
EVP, Business Development
Bob Spadafora has had significant experience in the financial services industry for more than 30 years and previously served as president and CEO of a large third party marketing firm. Mr. Spadafora focuses on our programs in the Eastern half of the United States but is available to talk with any financial institution that wants more information on our programs.
EVP, Chief Compliance Officer
Peter Vonk has more than 30 years experience in the financial services industry. Mr. Vonk has extensive broker/dealer and investment advisory compliance experience in all investment channels, including major wire house, financial institution and independent contractor models. He has a strong background in developing automated compliance systems and oversees compliance, registration, and legal.
EVP, Chief Information Officer
Bob Millington has over 19 years of experience in implementing Information Technology solutions. He has an extensive background in delivering technology based business change. His diverse background includes leading technology for financial trading, healthcare and large clearing organizations. Mr. Millington is responsible for leading information technology and business systems.
SVP, Business Systems
Mitzi McMillin has more than 25 years experience in back office systems, business systems and project management. She previously worked in the management of retail brokerages including operations, compliance, trading, and customer service. Ms. McMilllin has been a key person involved in the development and management of the dataVISION® system since its inception.
Steve Hollenbeck has more than 30 years experience in marketing of securities products and services. He brings expertise in product marketing, including advisor accounts, fixed income products and general securities. Mr. Hollenbeck is responsible for oversight of product marketing as well as marketing communications.
SVP, Operations and Trading
Cindy Zabuska has more than 30 years' experience in management of back office brokerage operations. She previously worked for a large independent broker dealer and has experience in self-clearing operations. Her expertise includes building sophisticated training systems for large sales networks. Ms. Zabuska is responsible for operations and trading.
Yubie Asghedom, VP, Accounting, has more than 17 years of experience working with broker/dealer firms. She brings expertise in brokerage, regulatory and management reporting. Ms. Asghedom is responsible for oversight of accounting and commissions.
Nick Contristan has been with CFS for more than 9 years in increasingly responsible roles. He started with us as an OSJ and eventually became director of the department. For the past couple of years he has spent most of his time helping new programs transition in. Mr. Contristan has more than 15 years in the financial industry, initially starting in financial sales. He moved into more operational roles at two wire houses where he held jobs in cashiering, trading, and sales support. He now oversees the Branch Supervision (OSJs) and Transitions groups for CFS and SPF.
SVP, Trading and Implementations
Monica Daggs, SVP, Trading and Implementations, AML Compliance Officer, has more than 15 years experience in the financial services industry. Ms. Daggs comes from a strong background in broker/dealer and investment advisory compliance with financial institutions and independent contractor business models. She has significant experience with operational and trading compliance, especially in using technology to develop efficient surveillance and compliance programs. She currently serves as the FINRA District 2 Representative for large firms and has served on the FINRA Regulatory Advisory Committee. Ms. Daggs oversees internal audit, anti-money laundering program, CFS trading services, and transitions.
SVP, Human Resources
Janine Holmes is a human resources leader who excels at strategically aligning HR functions with organization initiatives. She holds a masters' degree in HR/Organizational Development, the SPHR certification, and has more than 20 years’ experience in human resources. Throughout her career, she has worked in large multi-state service-based organizations and is currently the Senior Vice President, Human Resources at CUSO Financial Services and Sorrento Pacific Financial. There she is responsible for all aspects of human resources including total rewards/compensation, employee benefits strategy, wellness, employee development, recruiting, risk management and employee relations. Holmes is a past winner of San Diego's HR Professional of the Year Award in 2010 and 2008.