Stephen Freedman

Stephen Freedman North York, ON M2N 0C2 I- I-Regulatory Compliance | Securities Regulation | Policies and Procedures | Operations and client Management I Alternative Investments | Private Equity and Venture Capital Expert finance and operations professional specializing in PCMLTFA, FINTRAC & Risk Assessment ***Owner, CEO and Chief Compliance Officer of Sloane Capital Corp. (Sloane), an Exempt Market Dealer, between 2009 and 2015 that successfully funded over 35 investment offerings in the exempt market totaling over $125,000,000 (See page 2) Involved with the successful funding of Canadian businesses ranging from start-ups to mid-sized firms Was registered with the Ontario Securities Commission and the Securities Commissions of BC, AB, SK, MB, QC, NS & NL Awarded a prestigious Deal of the Year Award from the Private Capital Markets Association Presented with the prominent Leadership Award from the National Exempt Market Association, “In Recognition for Fostering Industry Excellence in the Canadian Exempt Market” Past Board Member of the National Exempt Market Association of Canada Outstanding professional and communicator assisting dealers, issuers, and investors navigate the complex maze of the alternative investment market PROFESSIONAL EXPERIENCE Senior Consultant – Self-Employed September 2015 – Present Assist companies to raise investment funds. For example, brokered a deal between a Canadian Property Management firm and a New York Investment Bank that will bring the Canadian firm over $100,000,000 to use to purchase rental apartment buildings in the GTA. Referred over 30 clients to a company specializing in gold investments. Pension Facilitator - Canadian Physicians' Pension Plan Jan 2022 – Sept 2024 Educated doctors and their accountants as to the financial benefits of The Canadian Physicians' Pension Plan (CPPP). Assisted incorporated businesspeople who could enroll in the Personal Pension Plan (PPP). Licenced Mortgage Agent - Direct Mortgage Sept 2016 – Mar 2020 Personally raised $10,000,000 of syndicated mortgages for 5 real estate projects. North York, ON M2N 0C2 I- I- 2 ***Owner, CEO, President, Chief Compliance Officer, September 2009 – August 2015 Ultimate Designated Person, Dealing Representative Chief Authorized Firm Representative Sloane Capital Corp. A Registered Exempt Market Dealer Successfully increased the annual investment sales from $4,000,000 to $60,000,000+ within 3 years by substantially increasing the licenced sales force, providing professional investment sales training, product knowledge training and overseeing compliance during this business expansion. Hired and trained 35 salespeople across Canada. Expanded securities sales in BC, AB, SK, MB, ON, QC, NS and PEI; met and managed registered salespeople on a regular basis in Western Canada, Ontario and Quebec. Managed back office administration and the development of an online back office and an online Know-Your-Product training site. Hired and managed 4 office staff. Owner, Compliance Officer and Registrant May 2005 – August 2009 Fresno Securities Inc. Additional Experience (Prior to May 2005) Registrant, Compliance Officer, Shareholder and/or Owner of various Investment Dealers (e.g. Nesbitt Burns) and Investment Firms. Compliance Officer of 2 Mutual Fund Companies. EDUCATION BA – Math and Economics University of Western Ontario, London, ON Economics and Political Science Program University of British Columbia, Vancouver BC The Strategic Coach Business Education for Entrepreneurs Canadian Securities Institute Canadian Securities Course Partners, Director and Senior Officers Course Options Licensing Course Futures Licensing Course Canadian Commodity Supervisors Exam Course Conduct and Practices Handbook Course