Ruth Ann Castellano-Piatt CPA/PFS, CFP, CGMA, AEP,MBA 4320 Hillcrest Avenue, N.W. Albuquerque, NM (505) Cellular

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1 Certificates Education Ruth Ann Castellano-Piatt CPA/PFS, CFP, CGMA, AEP,MBA 4320 Hillcrest Avenue, N.W. Albuquerque, NM (505) Cellular Certified Public Accountant, Certificate #5492 Certified Personal Financial Specialist AICPA Designation Certified Business Six Sigma Green Belt, August, 2006 Candidate Six Sigma Black Belt, 2007 (Training Completed/Project Pended) Chartered Global Management Accountant, 2013 Licensed Series 65 registered with SEC Accredited Estate Planner September, 2011 Certified Financial Planner July, 2013 Bachelor of Arts in Economics and Criminal Justice May-1987 University of New Mexico Albuquerque, New Mexico Minor in Accounting Additional accounting courses taken after BA received to meet educational requirements for CPA (30 hour accounting requirement) Master of Business Administration University of New Mexico, Anderson School of Management Albuquerque, New Mexico Current Membership and Volunteer Work Member, American Institute of Certified Public Accountants Member, New Mexico Society of Certified Public Accountants (NMSCPA) Member, Financial Planning Association Past - President, New Mexico Estate Planning Council Member, New Mexico Estate Planning Council Awards Wells Fargo Best in Business Best Practice Awards Excellence in Action Awards Leadership Excellence Awards Team Excellence Award 2006

2 Work Experience Senior Manager January 2010 to Present REDW, LLC. Albuquerque Manage client relationships for investment management, financial planning, estate planning, individual and business tax and operations planning, trust administration consulting, tax preparation review. Schedule, supervise and review client engagements. Direct the efforts of Supervisors, Senior, and Staff Accountants. Review financial statements prepared for clients. Prepare financial plans for clients including, income projections, budgeting, identify investment opportunities, business consulting, and establish implementation plans. Provide individual investment management services, including allocation recommendations, trading, and advisory services. Responsible for maintaining and developing work with the current clients of the firm as well as develop new client work. Actively participate in Firm planning and practice development. Part time instructor Upon request University of New Mexico Albuquerque I have instructed the following courses Individual Tax Planning Seminar Graduate Level 2010 to present Financial Management for Accountants Graduate Level 2012 to present Individual Income Tax Undergraduate Level to present Part time instructor Upon request Central New Mexico Community College Albuquerque I have instructed the following courses Accounting 1109 Fall 2011 FIN 1010 Financial Literacy Fall 2011 to 2015 Accounting 1109 Spring 2011 Accounting 1109 Summer 2010 Accounting 1109 Fall 2010 FIN 1010 Fall 2010 Accounting 1109 Spring 2010 Accounting 1210 Spring 2010 Manager July 2007 to January 2010 Pulakos & Alongi, Ltd. Albuquerque Responsible for the management of services provided to clients in the Tax Department. Schedule, supervise and review large tax engagements. Direct the efforts of Supervisors, Senior, and Staff Accountants. In addition to general tax work, manage all client services for Estate, Gift and Trust tax return preparation, individual and business planning, research, and consulting. Work directly with the Founding Partner to provide valuation services to clients for estate tax, gift tax, employee stock ownership plans, built in gains tax issues, and mergers, acquisition and sales transactions. Represent the firm as an instructor for the Lorman Educational Services Company. Periodically represent the firm on their 770 KOB radio show as a guest or host. Supervise, train, and mentor junior accountants. Manage and coordinate work for all client accounting services for the firm. Responsible for maintaining and developing work with the current clients of the firm

3 as well as develop new client work. practice development. Actively participate in Firm planning and Servicing Manager June 2006 to July 2007 Wells Fargo & Co. Albuquerque Responsible for the management of Servicing Operations for the Albuquerque Loan Servicing Center. This included the Reconcilement and Critical Transaction Review Department, Payments Processing Department, Exception Reports Department, Maintenance & ACH Department, Research Department, and New Loan Review Department (compliance review). Mid-Level Manager on the Senior Management Team for the Albuquerque Loan Servicing Center (LSC), and participated in strategic initiatives. Responsible for the operating budget for my six departments. Oversaw the production of financial and regulatory reporting, accounting reconciliation and account certification to the Controller. Assured that issues regarding Sarbanes Oxley were addressed and served as a liaison with the Controller for the Servicing Operations. Ensured that internal and external accounting policies and procedures were adhered to and maintained. Representative on Audit Committee and the Financial Review Committee. Reviewed and maintained the policies and procedures specific to cash management and accounting control functions. Answered and resolved inquiries made from staff, other departments within the LSC, and LSC business partners. Represented the Loan Servicing Center on many business projects and initiatives, including business strategy, system enhancements, product development, system development, and financial reporting. Responsible for responding to audit inquiries and exception reports. Participated in the LSC Audit Committee. Monitored productivity to identify areas for improvement. Responsible for reviewing and reporting department productivity, and estimating future capacity based on volume and productivity, projecting volume and capacity based on business strategy and objectives. Responsible for preparing monthly, quarterly, and annual budget reporting for my departments. Responsible for determining monthly, quarterly, and annual budget projections based on business strategy and objectives. Managed human resource functions including: employee hiring, supervision, training, evaluation including periodic and annual reviews as required under the Wells Fargo HR Program and the distribution of job assignments. Responsible for managing both professional and clerical staff engaged in project participation, and system testing activities, reconciliation, payment exception reporting, research, compliance review, transaction verification, account maintenance, and payment processing. Supervised 8 direct reports, including 6 Managers and indirectly managed 72 accounting, analyst, and processing team members. Accounting Manager March 2005 to June 2006 Wells Fargo & Co. Albuquerque Responsible for the management of the Albuquerque Reconcilement Department. Mid-Level Manager on the Senior Management Team for the Albuquerque Loan Servicing Center (LSC), and participated in strategic initiatives. Representative on Audit Committee and the Financial Review Committee. Responsible for managing both professional and clerical staff engaged in reconciliation, project participation, and system testing activities. Managed the completion of reconciliation tasks such as creating and clearing entries to accounts, balancing the SHAW system to the General Ledger, researching and resolving discrepancies, and maintaining the accounting systems and accounting records. Reconciled approximately 29,000 GL account combinations on daily basis. Oversaw the production of financial and regulatory reporting, accounting reconciliation and account certification to the Controller. Ensured that internal and external accounting

4 policies and procedures were adhered to and maintained. Reviewed and maintained the policies and procedures specific to the reconcilement function. Answered and resolved inquiries made from staff, other departments within the LSC, and LSC business partners. Responsible for responding to audit inquiries and exception reports. Participated in the LSC Audit Committee. Represented the Reconcilement Department in meetings and participated in system enhancement testing and pilot projects. Responsible for establishing, documenting, implementing, and maintaining policies, procedures and internal controls. Monitored productivity to identify areas for improvement. Maintained the Department budget and projections. Managed human resource functions including: employee hiring, supervision, training, evaluation including periodic and annual reviews as required under the Wells Fargo HR Program and the distribution of job assignments. Managed 13 team members, the department functional and financial goals. Investment Accounting Manager Dec-2003 to Dec-2004 State of New Mexico Santa Fe Responsible for the management of the State Investment Council Investment Accounting Office, and the safeguarding of its assets which exceed $11.5 billion. Managed human resource functions including: employee hiring, supervision, training, evaluation including periodic and annual reviews as required under the State of New Mexico PAD/EAP Program and the distribution of job assignments. Developed training programs to assure that employees were able to meet the agency's evolving needs. Managed department functional and financial goals. Established, documented, and implemented policies and procedures and internal controls. Responsible for the preparation and distribution of monthly financial reports to the State Investment Council. Oversaw and assisted with the review, affirmation, and approval of investment accounting activity, daily purchase and sale activity, loans, distributions, and income, expense, and capitalization allocations. Oversaw the review and assisted with the review of daily reconciliations, daily financial projections, and individual pool and fund financial statement preparation. Actively involved in the selection of and served as a liaison to external auditors. Reviewed and prepared schedules to adjust books to meet GAAP reporting requirements at the completion of the audit. Assured that the financial statements of the State Investment Council were prepared in accordance with GASB 34. Participated in the negotiation of contracts that affected the Investment Accounting Office, including audit contracts and accounting hardware and software contracts. Responsible for negotiating, maintaining, and coordinating accounting software and hardware enhancements, upgrades, installation, set-up and training. Financial Planning Specialist/Assurance and Consulting Senior Sep-1998 to Dec-2003 REDW Business & Financial Resources, LLC Albuquerque, NM Financial Planning Specialist Performed financial planning services for high net-worth clients that address detailed analysis of individual circumstances including client employment status, income benefits, stock option planning, personal spending budgets, investment vehicles, retirement alternatives, business and/or partnership involvement, earning potential, and current and potential future income sources. Worked closely with investment analysts to propose and develop investment portfolio, performed tax preparation services for stock option clients on a year-round basis, performed tax preparation services during tax season, and prepared analysis worksheets and charts for litigation support engagements. Maintained internal and external websites for REDW Stanley Financial Advisors. Researched companies and produced materials for the

5 stock option planning website under REDW, LLC, and prepared materials and conducted educational seminars to promote financial services. Conducted educational seminars on basic investment principals to our client s plan employees/participants that our firm served as the retirement plan administrator or investment consultant. Developed and maintained a program that assisted clients preparation and integration of individual program budgets into a comprehensive budget. Served as MIP Fund Accounting Software DOS Version support consultant. Assurance and Consulting Senior Provided consulting services to small businesses, tribal entities, and not-for-profit organizations including client staff training and review of accounting work, and preparation of financial statements for presentation to boards of directors, tribal council, and client management. Assist clients with management and budget development. Conducted business consulting seminars for small to medium sized businesses on various issues including process management, cash management, revenue forecasting, business plan development, customer service, marketing and financial management. Performed tax preparation services during tax seasons, "clean-up" services to clients with accounting deficiencies, and reviewed, prepared, trained and assisted clients with preparations of payroll reports including 941's, W- 2's, W-3's ES903's. Assisted, prepared, and reviewed financial reports and drawdown requests for clients of federal, private, and/or state financial granting agencies. Conducted audit preparation services and assisted staff auditors with generating accounting reports. Conducted operational internal control reviews, documented internal control processes, reported recommendations, and assisted with implementation of internal control recommendations. Wrote internal control and accounting policy and procedure manuals for tribal and casino clients. Performed MIP Fund Accounting Software installation, training, and support for DOS and Windows versions, and provided Fund Ware Accounting Software support to clients. Supervised staff accountants from REDW and client staff. Sole Proprietor Jan-1993 to Dec-1998 Self-Employed Albuquerque, New Mexico Provided consulting services to small businesses, tribal entities, and not-for-profit organizations including client staff training and review of accounting work, preparation of financial statements for presentation to board of directors, tribal councils, and client management. Assisted client management with budget development and cash management. Assisted clients with business plan development, revenue forecasting, business process development. Contracted as a "contract controller" for clients. Responsibilities included supervision of client accounting staff. Conducted basic training seminars for MS Windows and Office to client staff. Performed tax preparations services during tax seasons, and "clean-up" services to clients with accounting deficiencies. Reviewed, prepared, trained, and assisted clients with payroll reports, including 941's, W-2's, W-3', ES903's. Assisted, prepared, and/or reviewed financial reports and draw-down requests for clients to federal financial, private, and/or state financial granting agencies. Conducted audit preparation services and assisted client's auditors with generating accounting reports needed for auditing services. Conducted operational internal control reviews, documented processes, reported recommendations, and assisted with implementation of recommendations. Wrote internal control manuals and accounting policy and procedure manuals for tribal clients. Performed compilation/"write-up" services. Served as Official Service Provider for MIP Fund Accounting DOS and Windows Version Software. Conducted RFP solicitation and evaluation of audit services for clients, and prepared and coordinated funding requests and financial

6 reporting for federal and state funding. Performed sub-contract audit services for a certified public accountant. Controller Mar-1998 to Aug-1998 Pueblo of Tesuque Tesuque, New Mexico Performed controller responsibilities for the Pueblo of Tesuque until a suitable candidate for the controller position could be located. Supervised accounting staff. Tax Manager Jul-1990 to Jan-1993 McCrary & Associates, PA Albuquerque, NM Performed tax preparation services for businesses and individuals, and consulting services for tribal and not-for-profit organizations. Consulting services included client staff training and review of accounting work, preparation of financial statements for presentation to board of directors, tribal councils, and client staff management. Assisted client management with budget development, revenue forecasting, and bookkeeping services. Acting controller responsibilities included supervision of client accounting staff. Performed "clean-up" services to clients with accounting deficiencies. Reviewed, prepared, trained, and assisted clients with preparation of payroll reports including 941's, W-2's, W-3's, ES903's. Assisted with preparation and/or review of financial reports and drawdown requests for clients of federal, private, and/or state financial granting agencies. Conducted audit preparation and audit services of tribal and not-for-profit clients. Financial and Compliance Auditor Oct-1989 to Jul-1990 SunWest Bank Albuquerque, NM Performed internal financial and compliance audits of all New Mexico branch offices. Performed detail audits of accounting, payroll, financial statements, bankcard and business operating systems. Designated "In-Charge-Auditor" on assigned audits. Quality Control Officer/Secondary Marketing Asst Aug-1988 to Sep-1989 First Mortgage Corporation Waco, TX Quality Control Officer Supervised quality control function of main and branch offices. Responsible for financial soundness of company assets and investments. Fiduciary responsibility toward government and private investors and their assets. Supervised internal financial and compliance audits. Reported directly to the President. Secondary Marketing Assistant Tracked secondary financial market and calculated and quoted all daily mortgage rates based on market conditions and private investor pricing. Hedged corporate financial position by buying and selling securities over the secondary market. Negotiated deals with private investors and brokers. Solicited private investors. Maintained an active loan portfolio of approximately $23M. Trained branch personnel in new loan program guidelines. Generated reports reflecting trends in production. Reported directly to the Assistant Vice-President of Secondary Marketing.

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