Stephen A. "Tony" Batman, CPA, CFA, CFP®
President and Chief Executive Officer

Stephen A. "Tony" Batman is a visionary entrepreneur whose accomplishments have profoundly impacted the accounting and financial services professions. The AICPA has identified Tony as a "trail blazer" for his vision and entrepreneurial spirit concerning the future of the accounting profession. For 11 years in a row-1996 through 2006-he was voted as one of the most influential accountants in America by Accounting Today magazine. In 2005 and 2006, he was also named by Investment Advisor magazine as one of the most influential people in the financial services industry. A true leader in the industry, Tony has established a successful financial services business development and resource partner to leading wealth management firms and is a frequent speaker to professional groups on a variety of financial services topics.

Tony is chairman, chief executive officer and co-founder of 1st Global, a diversified financial services firm that is the business development and resource partner to tax, accounting and legal professionals across the country. 1st Global works with these professionals to provide comprehensive wealth management services. As a CPA and entrepreneur, Tony has led his ever-growing staff of financial professionals, sharing with them his understanding of the wealth management professional's mission: to serve more clients and serve them better. Through 1st Global, he has created innovative educational programs, advanced support services and cutting-edge technology tools that cater to the wealth management advisor.

Tony is a Certified Public Accountant, Chartered Financial Analyst and CERTIFIED FINANCIAL PLANNER™. His professional memberships include the American Institute of Certified Public Accountants, the Texas Society of CPAs, the Institute of Certified Financial Planners, the Financial Planning Association, the Investment Management Consultants Associations, the Institute of Chartered Financial Analysts, the International Society of Financial Analysts, and the Association of Investment Management and Research. For 2004 and 2005, Tony served as Chairman of the Financial Services Institute. The Financial Services Institute is a membership association of broker/dealers and Registered Investment Adviser firms that serve registered representatives who are independent contractors. The FSI works for the success of its members through regulatory advocacy, conferences and education, peer networking and research. For 2006, Tony served on the board of directors of the FSI and served as chairman of its political action committee.

Tony is a graduate of the University of Kansas and serves on the board of advisors to its School of Accounting and Information Technology. Tony is also an instrument rated private pilot.

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Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame logo), which it awards to individuals who successfully complete initial and ongoing certification requirements.

Lynne L. Mabry, CPA/PFS, CFP®, MBA
Executive Vice President

Lynne Mabry is executive vice president at 1st Global leading strategic planning, administration, business development, new firm transitions, and human resources.

Lynne began her career with Deloitte & Touche, serving as audit manager for mid-sized private and publicly-held companies as well as coordinating campus recruiting efforts and implementing training programs. She became executive vice president and chief financial officer of TM Century, Inc., a publicly-held radio broadcast services company serving radio stations world-wide. Her scope of responsibilities included financial reporting, investor relations, contracts, legal issues, administration, planning and human resources. Prior to joining 1st Global in 1998, Lynne served as vice president of Finance and Operations of Lyrick Studios, which produces Barney & Friends and Wishbone. Her role included the financial and business planning for and execution of sales, marketing, and distribution strategies for retail products.

Lynne graduated Magna Cum Laude from Texas A&M University with a Bachelor of Business Administration in Accounting and served as president of Beta Alpha Psi. She earned her Master of Business Administration from The University of Texas at Dallas in 1997. Lynne is a Certified Public Accountant and AICPA Personal Financial Specialist, a CERTIFIED FINANCIAL PLANNER™ professional and has passed the FINRA Series 7, 24, 27 and 66 examinations.

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Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame logo), which it awards to individuals who successfully complete initial and ongoing certification requirements.

Tom Beier, MBA
Vice President, Process Development and Quality Assurance

As 1st Global's vice president of Process Development and Quality Assurance, Tom Beier is responsible for establishing and reviewing operational processes throughout 1st Global and ensuring they meet industry standards as well as satisfy the needs of our advisors. Tom manages several departments that help him achieve this goal, including: Process Development (Project Management, Process Improvement and Process Control); Quality Assurance (Quality Control and Employee Training); and Process Support (Customer Service, Eagle Services, and Document Services). Additionally, Tom is responsible for the Information Technology and Systems and Software Development functions within 1st Global.

Tom developed a strong operational background working as an engineer at Texas Instruments and Apple Computer, where he was responsible for developing operational processes within a stringent framework of quality and cost standards. Tom then spent several years in various management positions at Boeing, including a position as general manager of Operations of Boeing's Southwest facility. Tom then spent five years at Fidelity Investments as a vice president of Operations in their Southwest site, where he was responsible for transfers, retirement and customer service. Tom joined 1st Global in April of 2000 to help build a strong operational architecture in support of our advisors' needs.

Tom has a Bachelor of Science in Engineering from Grove City College and a Master of Business Administration from Southern Methodist University. He is a registered representative and has passed the FINRA Series 7 and 24 examinations. Tom has been trained and certified in Total Quality Management and Statistical Process Control techniques.

David Knoch, CIMA®
Vice President, Sales and Operations

David Knoch is vice president of Sales and Operations. He is responsible for leading all sales and operations processing for 1st Global's three main business entities: 1st Global Advisors Inc, a federally registered investment adviser; 1st Global Capital Corp., a FINRA-registered broker/dealer and 1st Global Insurance Services, Inc., an Insurance General Agency.David is also responsible for sales, operations and new solution development for 1st Global's fee-based investment advisory platform, Investment Management Solutions (IMS), which he launched in 2004. He is also responsible for leading 1st Global's fee-based retirement platform, CompassGOLD. David also leads 1st Global's Wealth Management Services department which encompasses Advanced Case Design, Financial Consulting Group, Annuity & Insurance Planning Group and Practice Development. In addition, David is responsible for 1st Global's broker/dealer and Insurance Operations groups which include Fixed Income, New Accounts, Cashiering, Transfer of Assets, Regulatory Principal, Regulatory Resolution, Insurance Case Management and Insurance Licensing.David's professional memberships include the Financial Services Institute (FSI), CFA Institute and the Investment Adviser Association. He serves as the Vice Chair of FSI's Marketing & Investment Advisory Council and is a member of the Sponsor Council for the Money Management Institute. David is also a part of the Investment Management Consultants Association's Performance Reporting Standards Task Force. David graduated from the University of Massachusetts, Amherst with a bachelor's degree in Political Science and is a Certified Investment Management Analyst (CIMA®) professional. He is a registered representative who has passed the FINRA Series 7, 24, 53 and 66 examinations.

Michael Pagano, JD, CLU
Executive Vice President, Chief Compliance Officer

Michael Pagano serves as vice president and chief compliance officer at 1st Global. As such, Michael works with the company and its affiliated financial advisors to provide regulatory compliance oversight, strategies and management. Included in his responsibilities is the supervision of both the licensing and compliance departments' staff, performing due diligence, handling regulatory audits and maintaining overall corporate quality assurance.

A lawyer and Chartered Life Underwriter, Michael has extensive experience in FINRA, SEC and insurance industry regulation. He has worked inside three national financial services entities, ranging in size from 325 representatives to 2100 representatives, catering to financial planners and insurance professionals. Prior to joining 1st Global, Michael worked for a prominent financial services broker/dealer where he served as chief compliance officer, promoting and enforcing compliance for field and home office business practices.

Michael received his Juris Doctor from The University of Miami School of Law. He also holds a Bachelor of Science degree in Business Administration and Marketing from the University of Connecticut. In addition, Michael is a registered representative and has passed the FINRA Series 4, 7, 24, 53, 63 and 65 examinations.

Al Prentice, CFP®
Vice President, Business Management Services

Al Prentice is the vice president in charge of 1st Global's Business Management Services group. His responsibilities include overseeing the development of sales and marketing plans for BMS Advisors and affiliated firms, as well as overall strategies for financial planning, changes in product mix and considerations for varying economic conditions. He is also in charge of providing leadership for 1st Global's Business Affiliate Services (BAS) and Business Partnership Services (BPS) platforms.Al has worked with hundreds of tax and accounting professionals to introduce financial services and develop successful wealth management practices. In doing so, he has developed an expertise in the unique structural and entity setup options for tax and accounting firms, as well as quantification models for valuing financial services firms. Prior to joining 1st Global, Al earned his Master of Business Administration in Finance from Neeley Business School at Texas Christian University. While studying at TCU, he served as analyst and administrator for the William C. Connor Foundation's Educational Investment Fund. Additionally, Al has worked both as an Internet analyst for a Fort Worth hedge fund and as a REIT analyst for a Dallas asset management company. Al's previous experience includes 12 years in the telecommunication industry working for Motorola. Al serves on the board of directors for Verticom, Inc., a Dallas-based corporation involved in construction services for the telecom, retail and hospitality industries.In addition to his Master of Business Administration, Al earned a Bachelor of Arts and Master of Education from the University of Louisiana at Lafayette. A CERTIFIED FINANCIAL PLANNER™ certificant, Al is a registered representative who has passed the FINRA Series 7, 24 and 66 examinations and he has successfully completed Level I of the Chartered Financial Analyst Program.

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Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame logo), which it awards to individuals who successfully complete initial and ongoing certification requirements.

William J. Stevens
Vice President, Marketing

Vice President of Marketing Bill Stevens oversees all marketing and communications initiatives for 1st Global. In addition, Bill supervises all 1st Global Wealth Management Academy® programs, including the WIN Program.Bill is a frequent speaker on wealth management, marketing and leadership issues at industry events, and he is a regular contributor to professional publications, including Practical Accountant, CPA Software News, CPA Wealth Provider, AZCPA Magazine (official publication of the Arizona Society of Certified Public Accountants), and SumNews (newsletter of the Massachusetts Society of CPAs). Prior to joining 1st Global, Bill was senior vice president with Morgan Stanley in New York and San Francisco. Bill also taught English, history and ESL and was head football coach at S.J. Tilden High School in Brooklyn, New York. His Tilden Blue Devils teams captured consecutive Public School Athletic League championships in 1987 and 1988.

Bill graduated from the University of Rochester cum laude in history and Russian studies. He continued his graduate studies at the Woodrow Wilson Graduate School of Foreign Affairs at the University of Virginia, Queens College, and St. John's University.

Paul Stewart, CPA
Vice President, Chief Financial Officer

Paul Stewart is the chief financial officer responsible for the financial management and internal controls for 1st Global's financial processes, including: securities brokerage operations (introducing broker/dealer clearing through National Financial Services LLC); fee-based asset management operations (SEC registered RIA); insurance operations (MGIA); 401(k) operations; advisor compensation; strategic business and financial relationships; and corporate financial planning, reporting and budgeting.

Paul has more than 17 years of industry experience in accounting and operations, primarily with Investors Financial Group (now part of the ING Network). Most recently, Paul served as senior director, Finance, at ING Advisors Network and as chief financial officer of Multi-Financial Securities Corp.

Paul graduated from Baylor University with a Bachelor of Business Administration in Accounting and Finance. Paul is a Certified Public Accountant and registered representative who has passed the FINRA Series 7, 24, 27, 63 and 65 examinations.