Roy D. Mansell

SUMMARY

Mr. Roy Mansell has twenty-five years of financial and investment experience working in an array of roles covering institutional investors. These entities include global asset managers, hedge funds, public & private plan sponsors, endowments, and hedge funds within the capital market and real asset sectors. Throughout his career, Roy has provided execution and advisory services with financial insights and investment solutions to clients. He aims to assist his network achieve their objectives across multiple communication channels, leveraging business process outsourcing, in-sourcing with innovative opportunities.

Periodic Financial Corp – Boise, ID

President & CEO

Lead the vision and direction for PFC, establish the critical components required in order to execute large scale project finance opportunities, and internal coordination with Periodic Asset Management:

• Responsible for establishing PFC as a FINRA Investment Advisory & Broker Dealer registered Investment Management Co

• Lead the development or acquisition of projects focused on energy, critical mineral, and digital opportunities suitable for

project finance, private placement, and or fund creation

• Actively network then identify the appropriate investment partners and secure the required capital expenditures to fund

and or finance proprietary and mandated projects in interest

• Responsible for coordinating PFC services and capabilities with counterparties which include strategic industry

partnerships, institutional investors, multinational organizations, and government entities

• Initiate and manage PFC’s interests of identifying sub-consultants, specialist advisors, partnerships, and collaborations

Career Experience

Guzman & Company – Chicago, IL

DIRECTOR: FIXED INCOME & DEBT CAPITAL MARKET INVESTMENT BANKING

Responsible for managing the Chicago office, establishing an institutional fixed income sales presence nationally, and creating debt capital market syndicate opportunities as a lead and co-manager:

• Managed the branch office in Chicago which included the annual broker reviews, handling of all branch correspondence, managing the day-to-day activities

• Responsible for establishing and managing client relationships with top tier institutional investors including global fixed income asset managers, insurance companies, endowments, public & private plan sponsors, and large municipalities

• Executed sales of a vast array of new issue and seasoned fixed income securities which include mortgage-backed securities,

asset backed securities, high grade credit, callable and non-callable GSE’s, municipal bonds, capital securities (hybrid &

trust preferred), money market instruments, commercial paper and GSE discount notes

• Member of a small debt capital markets team over 8 years which participated in 850 fixed income syndicate underwritings

representing $1.15 trillion par value in which the Company led or co-managed 350 valued around $400 billion in securities primarily consisting of asset backed securities, high grade credit, callable and non- callable GSE, capital securities (hybrid & trust preferred), convertibles and tax-exempt bonds

• Initiated syndicate opportunities appropriate to the company underwriting focus of large municipalities, power utility and infrastructure companies, government agencies, banks & finance companies

• Established the framework for the company partnership with Goldman Sachs Asset Management which allowed for the opportunity of a proprietary money market portal and assisted in the implementation of Treasury Helm

• Lead the marketing Treasury Helm to established clients which include large municipalities, state treasurers, government agencies, large domestic companies

• Coordinated strategy with Dr. Andrew Kalotay (Kalotay & Associates), a company partner, to attract new business such as large municipalities, state treasurers, and power utility and infrastructure companies

Banc of America Securities LLC – Chicago, IL

PRINCIPAL: INSTITUTIONAL FIXED INCOME

Responsible for expanding the short-term fixed income business in the Midwest as well as working with bankers to create other banking opportunities and to expand the company presence in the region:

• Responsible for establishing and managing relationships with public entities, financial institutions, bank holding companies & investment managers utilizing various short term investment products of bank inventory

• Coordinated with bank managers, treasury management officers, investment bankers, and public finance officers, and bank traders ensuring all client financial and investment needs were satisfied

• Solicited callable and non-callable GSE’s, asset backed securities, collateralized mortgage obligation and pass-through securities to financial institutions, bank holding companies & investment managers

Wells Fargo, Institutional Brokerage Services – Chicago, IL

VICE PRESIDENT: INSTITUTIONAL FIXED INCOME

Responsible for producing and establishing institutional fixed income business with local municipalities and institutions due to the new geographical presence of the company:

• Established a fixed income business primarily of public entities along with depository and financial institutions

• Executed trades involving commercial paper, government agencies, discount agencies, variable rate demand notes, U. S.

Treasuries, CD’s and money market funds to institutions appropriate for their Investment Policy

• Developed and managed relationships with financial officials through various public organizations and associations

Salomon Smith Barney – Chicago, IL

FINANCIAL CONSULTANT

Responsible for expanding and transforming the business with my senior partner by means of producing new clients and transforming our book of business from a transactional to a fee-based focus:

• Successfully transitioned a transactional business to a fee-based business with senior partner through company products

• Actively monitored client financial plans and portfolios utilizing resources such as credit & lending services, IRA distribution

program, ERISA capabilities, 529 programs and estate & trust plans

• Produced financial, retirement, educational and distribution plans and proposals for clients/prospects

PaineWebber Group – Chicago, IL

FINANCIAL ADVISOR

Responsible for producing new clients and establishing fee-based business for the firm:

• Analyzed client risk tolerance and financial profile and allocated assets accordingly

• Advised client investment plans and portfolios with a consultative approach in a fee-based structure

• Provided clients with appropriate financial, retirement, educational and distribution plans utilizing Institutional programs

and resources

Chicago Board of Trade – Chicago, IL

TRADER ASSOCIATE

Responsible for the efficiency and business production of the traders:

• Implemented complex buy/sell orders/trades for traders and Institutions

• Effectively analyzed, prioritized and implemented orders/trades for swift execution

• Confirmed order accuracy with traders, associates and institutions during active markets

EDUCATION

• DePaul University, Finance BS Chicago, IL

• Florida Institute of Technology, BA – Full Basketball Scholarship Melbourne, FL

• University of Arkansas at Fort Smith (Westark CC) – Full Basketball Scholarship Fort Smith, AR

CERTIFICATIONS

• FINRA: SIE Exam Chicago, IL

• NASD Certified (formerly held): Series 7, 24, 63, 65, 79 Chicago, IL

• New York Institute of Finance: MBS Certified New York, NY

PAST MEMBERSHIPS

• Association for Financial Professionals Chicago, IL

• Bond Club of Chicago Chicago, IL

• Government Financial Officers Association Chicago, IL

• Buckingham Club of Chicago (formerly LaSalle Club of Chicago Board of Options Exchange)