OFFICIAL BALLOT FOR THE ELECTION OF OFFICERS AND BOARD MEMBERS

DUE BY SEPTEMBER 24, 2014

YOU MAY CHOOSE UP TO 7 CANDIDATES to represent you on the NASP board. You do have the option to write-in a candidate; however they must be a financial member of NASP.

BOARD CANDIDATES

Avery Byrd Toussaint Capital Partners

Joseph Brown Jr. Sturdivant & Co.

Arthur McClearin The Williams Capital Group Theron Picketts Topeka Capital Markets

Eugene Duffy Intercontinental Real Estate Corp.

William Roach GLOBALT Investments

Dyice Ellis-Beckham Invesco

Stephanie Roberts Garcia Hamilton & Associates

Marcelia Freeman Invesco

Floyd Simpson FIS Group

Valerie King Holland Capital Mgmt.

Steven Singleton Blaylock Beal Van

Mellody Hobson Ariel Investments

Kurt Summers Grosvenor Capital Management

Shawnell Holman Siebert Brandford Shank & Co.

William Thompson Siebert Brandford Shank & Co

Guy Logan Citi

_______________________________

Name _______________________________________________ (please print)

Company Name ________________________________________________ (please print)

Please submit your ballot via fax (202-371-5536), email to kbarnes@nasphq.org or mail to NASP Headquarters at 1000 Vermont Avenue., NW, Suite 810, Washington, DC 20005. Your ballot must be received prior to 4 P.M., EST, Wednesday, September 24, 2014. You will have the option to submit your ballot in person at the Annual Meeting on Wednesday, September 24, 2014 from 10 A.M. to 4 P.M., EST, at the National Press Club, located at 529 14th St N.W., Washington, DC 20045.

Avery F. Byrd Chairman & CEO Toussaint Capital Partners

Avery F. Byrd, the Chairman & CEO of Toussaint Capital Partners (LLC), is a seasoned capital markets professional and a proven manager with a successful track record as an entrepreneur and a corporate executive. As an investment professional, Avery has twenty plus years of institutional sales and trading experience with an extensive portfolio of regional, national and global institutional investors. These investors participate actively in both the debt and equity markets. Prior to assuming his current role as Chairman & CEO of Toussaint Capital, Avery held several positions in the financial

industry. Avery’s vast capital markets experience encompasses officer level positions at The Williams

Capital Group, Dean Witter Reynolds, Oppenheimer and Merrill Lynch. Toussaint Capital Partners, LLC (TCP) was launched in May 2003 and approved by FINRA in August 2004. To date TCP has acted as co-manager on over $110 billion in corporate and municipal debt (representative issuance clients include City of Chicago, State of New Jersey, State of California, AIG, Toyota Motor Corp, NY Life, JPMorgan, and Southern Cal Edison) and is currently a repurchasing agent for Coca-Cola Co/ Met Life and others. The firm secured mandates and acted as selling agent for over $126 billion in corporate and $119 billion in municipal debt as well as numerous equity new issue transactions. The firm presently maintains active relationships with several bulge bracket and regional broker dealers, institutional money managers, state and municipal pension funds and hedge funds. As an entrepreneur, Avery also founded and developed a regional facilities maintenance firm, Bradford & Byrd Associates (B&B). The firm maintains several commercial properties within a regional footprint that spans NY and NJ in the north to NC, SC, and GA in the south, and westward to PA, MD and VA. Notable sites serviced by B&B include The George Washington Bridge, NJ Transit North East Corridor and Arthur Ashe Stadium US Open. He is a supporter of the New York/ New Jersey Minority Purchasing Council and the Georgia Minority Supplier Diversity Council. Avery holds a B.A. in Finance from Morehouse College and is series 7, 24, and 63 licensed. His leadership has helped TCP receive notable recognitions in the past. Recently, TCP was ranked fifth under the MBE Investment Bank category, according to Black Enterprise’s June 2014 issue. Avery is highly experienced, knowledgeable, dedicated, and works effectively and efficiently with diverse set of individuals. His vast network comprises deep relationships from the economic, political, legislative and financial sector. He is desirous to dedicate the time and effort to give thoughtful insight to the Board and willing to make use of his network, experiences and skill set in order to add significant value in attaining the desired objectives of the Board. His expertise will allow him to serve well on the NASP Board.

Joseph Brown, Jr. Senior Vice President, Institutional Sales Sturdivant & Co.

When I looked for a job on Wall Street, my dream was to become a Stock Trader. I was told that my degree in European History was not useful for Wall Street. Determined to see my dreams realized, I worked different clerical positions and odd jobs while attending night school to study Business Administration. Ten years later, at A.G. Becker, Jimmy Volk, who was at the time the Head of Trades, gave me a chance to make my dream come true. That opportunity would then lead me to the position of Senior Trader at my first emerging brokerage firm, Anvil Institutional Services, in 1993. In 1994, I joined NASP, and have since met some of the most extraordinary minds, as well as people of great character. I have been an active participant in the Wall Street Mentors Luncheon, and the New York “Fast Track Program”. To be nominated

as a member of the Board of the NASP is an honor; however, to be voted in would allow me to continue on in the footsteps of the women and men that have served before me in excellence. To give my time and experience to such an important organization is a privilege, one that I hold close to my heart, because I have learned and gained so much from the many people and organizations I have worked so closely with. Over the span of my forty-year career on Wall Street, I have worked for eleven majority firms: Morgan Guaranty & Trust Co., Solomon Brothers & Hutzler, F.S. Smithers & Co., W.E. Hutton & Co., A.G. Becker & Co., Parrish Securities, European American Bank, Ernst & Co., M.H. Meyerson & Co., Pacific Continental Securities Inc., and Leeb Brokerage Services. I have also worked for six minority firms: Anvil Institutional Services Inc., WR Lazard, Laidlaw Inc., DAIWA Securities America Inc., Magna Securities Corp., APB Financial Group, and my current firm, Sturdivant & Co.

Eugene Duffy Senior Managing Director Intercontinental Real Estate Corporation

Mr. Duffy is responsible for establishing, developing, and maintaining Intercontinental’s client and consultant relationships with a primary focus on

Public Pension Plans and corporate ERISA plans. Prior to joining Intercontinental, Mr. Duffy was a partner and principal at Paradigm Asset Management Company where he was responsible for new product offers, enhancing relationships, client servicing, and management of strategic alliances. Mr. Duffy produced and managed Paradigm’s inclusion on numerous fund of

funds platforms, increased the firm’s direct allocations, and increased asset

under management by more than 1.5 billion dollars.

Currently, Mr. Duffy is a board and audit committee member of American Beacon Funds, a forty billion dollar mutual fund company. He also serves as a trustee for the Willie L. Brown Jr. Institute on Politics and Public Service, and is Chair of the NAACP Foundation. The SEC recently appointed Mr. Duffy to the New Investor Advisory Committee.

Mr. Duffy attended Morehouse College with advanced studies at the University of Western Cape in South Africa and the University of Ibadan in Ibadan, Nigeria.

Dyice Ellis-Beckham Senior Director Invesco

Ms. Ellis-Beckham is a member of the Invesco Sales and Service team. As a Senior Director, she is responsible for relationship management and new business generation for institutional investors in public funds in the central United States.

Ms. Ellis-Beckham has more than 13 years of experience in the investment management industry. Prior to joining Invesco, she served as Senior Vice President of Institutional Sales/Client Services at Lehman Brothers Asset Management and was Vice President at Deutsche Asset Management in a similar role. She began her investment career in 1996 as an investment analyst

and pension fund manager at General Motors Asset Management.

Ms. Ellis-Beckham graduated from the GMI Engineering & Management Institute in 1993 with a B.S.M.S. in Marketing and received a M.B.A. from Harvard Business School. She currently serves on the Board of Directors of the National Association of Securities Professionals (NASP) and is Chair of the NASP New York Chapter Foundation. She is also a member of 100 Women in Hedge Funds, Association of Investment Management Sales Executives (AIMSE) and numerous other retirement system industry associations including TEXPERS and LATEC.

Marcelia Freeman

Director, Investor Relations & Product Development Invesco

Marcelia Freeman is a Director within Invesco’s private equity platform. As a Director, Marcelia is responsible for coordinating global sales for private equity fund-of-funds group Invesco Private Capital and providing strategic direction for the products. She also manages product development and marketing efforts for WL Ross & Co. distressed private equity products. Most recently, Marcelia served as a Director within Invesco Sales & Service Team, where she was responsible for new business generation and relationship management for institutional investors in public funds in the southeastern United States.

Marcelia began her career at the JPMorgan Private Bank where she helped wealthy families in the Northeast develop and execute investment and wealth management strategies. She then transitioned in to the Office of the Chairman at JPMorgan Chase where she worked closely with senior management to lead strategic firm-wide projects, after which she focused on analyzing the competitive landscape and refining the strategic positioning for JPMorgan Asset Management. She also interned in both the public and non-profit sectors with a leading member of the US Congress and with the Rockefeller Foundation. Marcelia recently earned an M.B.A. from Harvard Business School where she served in a number of leadership positions in student and community organizations. She also graduated with summa cum laude honors from Florida A&M University with a B.A. in Finance. I am honored to be nominated by my peers to serve on the Board of Directors of NASP. As an active member since 2010, I believe the organization to have the potential to continue shaping the financial services industry, promoting diversity and inclusion throughout all facets. I also believe we have an opportunity to focus on four key areas: 1 - Increasing the membership ranks of young professionals in order to engage aspiring new leaders of the industry. 2 - Further developing chapter programming in order to fully engage members in their local regions and positively impact their business development efforts. 3 - Further engaging plan sponsors and institutional investors of all sizes and types to increase the footprint of NASP's mission. 4 - Leading initiatives to better engage minorities and women at large and mainstream firms to fully carry out NASP's mission throughout the industry. Again, thank you for the nomination. I would be honored to serve.

Valerie King Director of Marketing Holland Capital Management

Ms. King is primarily responsible for the marketing of Holland Capital’s

investment services on a national basis, with a focus on public plan sponsors. She has 21 years investment experience. Prior to joining Holland Capital in 2001, Ms. King served as Vice President of Investment Services and the Fixed Income Marketing Manager at T. Rowe Price Associates in the retail division. Ms. King’s past professional experience also includes a marketing

manager position with American Express in the Consumer Lending Credit Card group in New York. Ms. King holds an M.B.A. with honors from Clark Atlanta University Graduate School of Business with a marketing concentration and a B.A. in architecture from the Illinois Institute of Technology. She earned the Claritas® Investment Certificate in 2013. Ms. King is a board member of the National Association of Securities

Professionals (NASP), a board member of the Illinois Arts Council, and a past board member of Women Investment Professionals (WIP). She is a member of the Chicago Urban League, the National Black MBA Association, Women Investment Professionals (WIP), and Chicago United’s Leaders Council. Serving on the NASP board is an exceptional and rare opportunity as it offers a platform from which one can have an immediate impact for women and minorities in the securities industry. In addition, I share the passion of the organization in its efforts to foster the growth and development of young minorities who have expressed an interest in financial services. As a woman and minority equity partner at a prominent minority-owned firm, a NASP board position affords a great deal of respect and career success. I am a current NASP board member (seeking my third term) and have been an active member of NASP for my entire 13 years in the institutional investment management business, and simply put – I consider it a privilege. Specifically, in terms of adding value - - having served in various capacities at our annual conference, I have some new ideas for “re-invigorating” the conference, as well as thoughts on how to increase

awareness and the brand of the NASP organization. In the last few years, the NASP organization has made great strides in building the “coffers” of the organization and this momentum must continue as we consider the future of NASP. In thinking along those lines, I’d like to help institute and work with a team

of NASP board members and affiliates to create individual giving campaigns, a corporate online giving presence, and perhaps solicit dollars from top University’s with Finance programs and diversity issues by

collaborating on efforts to develop and increase a pipeline of minority talent. Lastly, I wish to continue my service on the NASP board and vehemently consider myself a “NASP Cheerleader” – a staunch advocate – always and forever, on the circuit representing and promoting the mission of the NASP organization.

Mellody Hobson President Ariel Investments

Mellody directs Ariel’s firm-wide management and strategic planning, overseeing all operations outside of research and portfolio management, and serves as chairman of Ariel Investment Trust’s

board of trustees. Mellody is chairman of the board for DreamWorks Animation SKG, Inc. as well as a director of The Estée Lauder Companies Inc. and Starbucks Corporation. Her community outreach includes serving as chairman of After School Matters, a non-profit that provides Chicago teens with high quality, out-of-school time programs. Furthermore, she is dedicated to financial literacy and regularly contributes to CBS News, the Tom Joyner Morning Show and Black Enterprise magazine. She is a board member of the Lucas

Museum of Narrative Art, The Chicago Public Education Fund, and Sundance Institute, where she has been appointed emeritus trustee. She is also on the executive committee of the Investment Company Institute’s board of governors. Mellody earned her AB degree from Princeton’s Woodrow Wilson School of International Relations and

Public Policy. She also received honorary doctorate degrees in humanities from both Howard University and St. Mary’s College. As a member of the Board of Directors for the National Association of Securities Professionals, I have worked to challenge conventional wisdom surrounding our industry and the role of minority-owned investment firms within it. In so doing, I have tried to think long-term while also weighing the consequences of incremental choices we make each day from language to strategic plans. After 23 years in the industry, my perspective is unique. I have evolved alongside the business, beginning as a recent college graduate and later heading an investment firm. The Ariel view truly offers a distinct vantage point—one formed by witnessing a minority firm grow from infancy into maturation. The many lessons I learned along the way have equipped me with a nuanced understanding of our profession and the opportunities still awaiting us. Today, minority firms are stronger and more plentiful than ever. As a result, there is a wealth of untapped potential. We now have not only a diverse perspective to offer, but also a record of performance that rivals our peers. Through NASP we can channel our efforts, maximizing the potential for further growth. Like the turtle Ariel has embraced for over 30 years, we must steadily progress toward our goals. One day, we all will relish the evolution of firms that will stand alongside the giants of our industry. My hope as a NASP board member is to help us achieve that scale.

Shawnell Holman Managing Director Siebert Brandford Shank & Co.

With over a decade of experience in municipal finance, Shawnell Holman joined Siebert Brandford Shank as Managing Director in September 2012. During the past two years, she has worked as the firm’s lead banker on deals totaling over

$5 billion in par. Previously, she managed the City of Houston’s $13 billion debt

and $2 billion investment portfolios. As the Deputy City Controller for the City of Houston, Ms. Holman was involved in a myriad of financings, including the $3 billion restructuring of the City’s water system debt, oversight of the City’s

multi-billion variable rate debt program, and refunding totaling over $10 billion that generated in excess of $200 million in savings.

Prior to joining the Controller’s Office, Ms. Holman managed budgets totaling over $500 million for the

City’s Police and Fire Departments. She holds the following FINRA licenses: Municipal Securities

Representative (Series 52), Municipal Securities Principal (Series 53), and Uniform State Law (Series 63). A native Houstonian, Ms. Holman earned a BA in Economics and English from Rice University and an MBA from the University of Houston at Victoria. In addition to serving as the President of the Texas chapter of the National Association of Securities Professionals (NASP), Ms. Holman currently chairs the mentoring committee for Women in Public Finance-(Texas chapter). An active community participant, she serves on the Board of Project Row Houses, an arts and life enrichment outreach effort, and as Board President for Row House Community Development Corporation, an organization focused on providing affordable housing. First let me state that I am honored to be nominated to serve on the Board of the National Association of Securities Professionals. It would be an absolute privilege to assist the organization in whatever capacity I can in promoting its mission to facilitate the inclusion of people of color and women in the financial services sector. Attending the national conference several years ago immediately sparked my interest in NASP. I left the event completely blown away by the camaraderie, breadth of expertise, and range of industry topics. Shortly thereafter, I spoke with several colleagues throughout Texas, who agreed that an organization with these guiding principles was vitally important to the region. As a result, we approached the national organization about forming a Texas chapter, which was formally recognized in 2013. Coordinating the formation of the Texas chapter gave me the wonderful opportunity to not only gain more insight about the organization’s mission and history but the chance to witness firsthand how hard the staff works to

advocate for meaningful inclusion. Ultimately though, it was the organization’s commitment to mentoring, particularly through its “Fast

Track,” program that I found the most compelling. As a former teacher, the chance to give back in any way I can resonates deeply with me. Finally, I feel that my experience in municipal finance delineated in my bio and insight about the Texas region would allow me to bring a unique perspective to the Board. Again, I truly appreciate your consideration.

Guy Logan Managing Director, Head of Metropolitan Issuers Finance Group Citigroup Global Markets

I would like to serve on the NASP board because NASP's mission and principles are closely aligned with mine, especially NASP's objective to foster the growth and development of minorities and women in the securities industry. I have demonstrated my commitment to NASP by working to strengthen the organization by actively promoting NASP’s mission and mentoring young professionals and students. Additionally, I have worked collaboratively with municipal finance professionals across the industry and country to enhance the profile of NASP and the Municipal Finance industry within NASP, serving as the Co-Chair of the Municipal Finance Program in 2014, 2012, 2011, and 2010 and serving as a member of the Municipal Finance planning committee since 2006. I can add to the success of NASP because I am a firm believer that every minority and woman securities professional has a

responsibility to contribute to the development of professionals who follow them. Being re-elected as a member of the NASP board would afford me the opportunity to further the work I have already begun and to ensure NASP's mission and principles are upheld. Guy Logan is Managing Director, Head of Metropolitan Issuers Finance Group, at Citigroup Global Markets Inc. He is responsible for delivering all investment banking services to municipal issuers throughout the United States. Prior to joining Citigroup, Guy worked at Moody’s Investors Service,

where he analyzed municipal bonds. Born and raised in Windsor, Ontario Canada, Guy received both his B.A. in Economics and his M.B.A from Union College. Guy is presently a term member of the Union College Board of Trustees and previously served on the College’s President’s Council. Guy resides in

Duluth, GA with his wife Dr. Pamela Logan and three young children—Gregory, Evelyn and Grant.

Arthur McClearin Principal The Williams Capital Group, L.P.

I would like to become a member of the board as I believe that I have the necessary qualifications and expertise to make a meaningful contribution to the National Association of Securities Professionals. As a Principal at The Williams Capital Group, L.P., I have over 35 years of institutional investment banking experience. As the Director of Marketing, I am responsible for managing the marketing and sales of Williams Capital’s

broad range of services to corporations, local, state and national government agencies and institutional asset management firms. Under my leadership, The Williams Capital Group was selected as a Senior Co- Manager to take The Prudential Insurance Company of Newark, New Jersey from a mutual

company to a public company in 2001. Prior to The Williams I held senior marketing positions at a number of boutique investment banks. Most notable is Daniels & Bell Inc., the first minority-owned investment bank to become a member of the New York Stock Exchange in 1971. Under my direction as Executive Vice President, Daniels & Bell was selected as Senior Co-Manager for The African Development Bank’s Two hundred million Yankee Bond

public securities offering. Daniels and Bell was also instrumental in taking Conrail public in 1987. I began my banking career at Bankers Trust in 1972 after graduating from East Texas State University with a Bachelor of Business Administration degree. I received numerous promotions throughout my tenure at the bank. From Internal Auditing, Credit, I was promoted to Marketing Officer, then Assistant Treasurer and a Regional Marketing Manager. I transferred to the Marketing Department for International Banking. In this position I was responsible for marketing cash management services to international commercial banks, multi-national corporations, foreign governments and central banks in the Middle East and Africa. Some of my other memberships, affiliations and accomplishments include:

Wall Street Hall of Fame, Class of 2004 Member of N.A.S.P. ( National Association Securities Professionals ) Board member of the Newark School of the Arts Board member of the Winston Salem State University Foundation Board Past Member of S.I.A. ( Securities Industry Association ) Member of Board of Directors of local chapter of N.A.S.P., New York )

I am, and have always been an advocate for minority firms in the securities industry. My philosophy of life is to be a beacon of light and a change agent that works to ensure that minorities participate in all aspects of the securities business.

Theron Picketts Vice President, Equity Sales Topeka Capital Markets

Theron Picketts is an institutional equity salesperson focused on marketing domestic and international equity services to asset managers who manage for public pension and Taft-Hartley plans. He has over thirty years’ experience in

operations, trading, sales trading, and marketing & sales. Before joining Topeka Capital Markets, Mr. Picketts was a Senior Vice President of Equity Sales at Cabrera Capital Markets, LLC (seven years). Prior, he was Senior Vice President of Equity-Sales Trading at Melvin Securities (five years), and Vice President of Institutional Sales Trading at Bear Stearns (fourteen years). Mr. Picketts has a Bachelor’s degree in Public Administration and Public Policy from Drake University. He is Series 7, 55, and 63 licensed. Mr. Picketts is Vice President of the Chicago NASP chapter, and a long standing member of STAC.

I would sincerely appreciate your vote for another term on the NASP National Board of Directors. In my first three years as a national board member, I have diligently served and contributed to NASP’s mission

statement and principles, while participating in its membership expansion and outreach; legislative participation; and finally annual conference integrity. I have learned so much, and enjoyed being a Plan Sponsor Co-Chair, and an active reoccurring member of the Sponsorship, and Program committees. My deepest commitment has been to the Professional Development Series (PDS), as I have seen it created by Floyd Simpson, grown by Janice Gonzalez, and nurtured into a viable component of our annual conference over a few short years. The potential of the PDS along with enlisting college recruitment chapters into our organization is expansively boundless.

William H. Roach, Jr.

President GLOBALT Investments

My name is William Roach and I would ask that you vote for me as a member of the 2015 Board of Directors for NASP. I have been a member of NASP since 1990 and have been in the investment business for nearly 30 years having worked with large, small and start up firms. I am President of GLOBALT Investments (“GLOBALT”) based in Atlanta Georgia, a position I have held since 1999 after joining the organization in 1991. GLOBALT provides investment management services to institutional and retail clients as well as financial advisors. GLOBALT Investments is an SEC-registered investment adviser since 1991 and a separately identifiable division of Synovus Trust Company N.A. based in Columbus, Georgia. We have over

$1.7 billion in assets under advisement as of June 30, 2014 after starting with less than $10 million in assets under management in 1991. I manage a team of 22 employees. I have lead a team that has diversified its business from managing portfolios of only large and mid cap growth stocks to managing a diversified business that also offers ETF based asset allocation strategies along with portfolios of individual stocks and bonds. My previous work experience includes investment management positions with Goldman Sachs, Western Asset Management and Security Pacific Merchant Bank. I have worked on both the sell and buy sides of the business. I received a B.S. in Chemical Engineering from Purdue University where I earned academic excellence awards from Inland Steel, Dow Chemical and Procter and Gamble. I furthered my education by earning an M.B.A. in finance/marketing from Columbia University Graduate Business School where I was awarded the Johnson & Johnson Leadership Fellowship. I am a member of the 1998 class of Leadership Atlanta and a member of the Advisory Board of the Goizueta Business School of Emory University. I also spent 10 years on the board of Girls’ Inc. of Greater Atlanta and continue to be a strong advocate for girls and women. I have coached both youth basketball and football in my community over numerous years. I am married and I am the proud father of a 16-year old daughter and 14-year old son (parents, please continue to pray for me!) I have actively participated in NASP in Atlanta and nationally since the first annual pension conference held in Chicago in 1990. I have mentored and nurtured a number of investment professional over the years and believe I bring a wealth of experience to the board having worked for large and small firms, majority and minority owned firms and buy and sell side firms. I have lead a team that started a business in 1991 and has grown to over a billion dollars in assets under management and still growing as of June 30, 2014. I would welcome the opportunity to serve the organization for the next 3 years as a member of the Board of Directors. I humbly ask you to vote for me as a member of the 2015 Board of Directors for NASP.

Stephanie Roberts Partner Garcia Hamilton & Associates

I am a Partner with Garcia Hamilton & Associates, a $4.5 billion minority-owned money management firm in Houston, TX. During my 14-year tenure with GH&A, I have held a variety of positions and currently serve on the Marketing/Client Service Team. I would sincerely appreciate your vote for an opportunity to serve on the NASP Board of Directors. My purpose in seeking a seat on the NASP Board is simple: I believe that we all need to contribute to the primary mission of NASP to increase opportunities for minorities and women in the securities industry. I am

committed to doing my part to achieve this mission. Since becoming a member of NASP in 2011, I have served on the planning committee for the Professional Development Series of the Annual Conference three times. I also participated as a team leader twice. During this time, the PDS program has evolved from a half-day program primarily designed for college students and early career professionals to a full-day program that offers sessions for all professionals on a wide variety of topics. I believe we can further enhance this program to attract more participants during the first day of the conference. I was also extremely active with fellow members in launching the Texas Chapter of NASP. This was no small task and involved coordinating membership outreach events, meeting with NASP National and ensuring that all requirements were met. Now that we have established the chapter, there is still much to be done. We have plans to increase membership, start a Fast Track program and offer roundtable discussion forums to connect NASP members with plan sponsors in Texas. I will continue to devote my time and energy to make these plans successful. Through my involvement with NASP thus far, I have witnessed how a motivated group of individuals with the same beliefs and core values can come together to facilitate positive change. NASP has established itself as the premier organization that helps women and minorities achieve inclusion in the financial services industry, however, the organization cannot rest on its success. It must continue to grow strategically to remain relevant. To this point, it is important that NASP have strong, effective representation. As a member of the Board of Directors, I will commit to help build upon the accomplishments of the organization and actively participate in moving forward. Thank you for your consideration.

Floyd Simpson Product Specialist FIS Group

Floyd Simpson joined FIS Group in September 2012 as a product specialist. He brings with him over 10 years of investment management experience. Prior to joining FIS Group, Floyd worked for 10 years in various investment and client service roles with Northern Trust. In his previous role as an associate relationship manager (Institutional Sales and Client Servicing) with Northern Trust Investments, Inc. He provided investment advice and solutions to various institutional client segments. Prior to that role he was an analyst within the Northern Trust Wealth Management Consulting group. In this role he provided in-depth performance analysis and manager commentary for Wealth Management

clients. Floyd received his MBA from DePaul University (with a dual concentration in Financial Analysis & Strategy, Execution and Valuation) and BA in Business Administration from Truman State University. He is a CFA ® charter holder, a Certified Financial Planner and holds the series 7 & 63 licenses. Floyd is an Auxiliary Board member and volunteer for UCAN, and was a former Advisory board member of PEAK. Board Reasoning It is with great pleasure that I accept my nomination for the NASP Board of Directors. I have participated with NASP for the past seven years. During this time period I have been an active member of the Chicago Chapter (general member), Philadelphia Chapter (panelist for the mentors luncheon), and have had the opportunity to participate with the Professional Development Series (chaired the committee for two years, and have been a consistent panelist/moderator) at the annual pension and financial derivatives conference since its inception. As a member of the Board of Directors I would help NASP continue to be a force in the industry along with representing the younger demographic within the organization and increasing the awareness of the group among younger professionals within the industry. I am eager to be able to contribute to the rich history of NASP and look forward to increasing my involvement within the organization.

Steven Singleton Executive Vice President – Director of Research and Global Equities Blaylock Beal Van, LLC

Steven brings over 30 years of experience developing fundamental, technical and quantitative models to understand the various factors that affect stock price and equity portfolio performance and is the creator of ELROI Research Analytics®, BBV’s proprietary research platform designed for and distributed to Institutional Equity portfolio managers and analysts. Prior to joining Robert Van Securities in 1995, he spent over 10 years in the Financial Information Services business with FactSet, IDC and Lotus One Source, selling and supporting services that provide analysis and manipulation of fundamental, expectation and pricing data. He is a General Securities Principal, Registered Representative, Registered Investment Advisor and Registered Research Analyst (FINRA Series 7, 24, 63, 65, 86, 87). He was

Portfolio Manager with Woodford Capital Management. He earned a B.A. in Mathematics/Economics from Claremont McKenna College (formerly Claremont Men’s College). He is a member of the CFA Institute, CFA Society of San Francisco and the Society of Quantitative Analysts. I am very humbled and honored to be considered for a position on the NASP Board, and I gladly and enthusiastically accept this nomination. NASP is a tremendous organization, whose mission and purpose of its founders and early pioneers has been sustained by the tireless work of its engaging Staff and Board. The goal of Diversity and Inclusion in Financial Markets is one that has seen progress, in part, through the structure of this organization and the committed Corporate and Public sponsors that have tendered their support. As NASP enters its second generation, the bell sounds anew to ensure that the message that “Diversity does not equal handout”

remains at the forefront. As such, the NASP platform is now positioned to take the directive of being recognized in the areas of acumen leadership – to partner with recognized organizations in our field (CFA Institute, GARP, etc) to raise awareness of the strength in quality of the constituency. As a Board member, I would bring commitment to seeing NASP recognized in these esteemed organizations.

Kurt Summers Senior Vice President, Office of the Chairman, Strategy and Corporate Development Grosvenor Capital Management, L.P.

Mr. Summers joined the Firm in 2012. Mr. Summers is a member of the Strategy and Corporate Development Team and the Office of the chairman; he helps guide the short- and long-term objectives of the firm. Prior to joining GCM Grosvenor, Mr. Summers served as Chief of Staff to the Cook County Board President and as the President’s appointed Trustee for the Cook County

Pension Fund. From 2009 to 2010, Mr. Summers was a Managing Director at Ryan Specialty Group, a specialty insurance services firm. From 2008 to 2009, he served as Chief of Staff on the Chicago 2016 Olympic Bid Committee. From 2006 to 2008, he was Director, Chief Financial Officer, and Head of Business

Development at the Balton Corporation, a wholesale distribution company in Chicago. From 2005 to 2006, he was an Associate at Goldman Sachs in the Industrials Group of the Investment Banking Division. From 2002 to 2003, he was an Aide to the Chief of Staff in the Office of the Governor for the State of Illinois, serving as a James H. Dunn Fellow. Mr. Summers began his career as a Business Analyst at McKinsey & Company. In addition, Mr. Summers is active as a leader in many other organizations. He is a member of the National Council for The Gephardt Institute for Public Service, The Lucas Cultural Art Museum Task Force, Get in Chicago (a $50M public private partnership for youth programming in Chicago), the Finance Committee Chair and Board member for Navy Pier Inc., and an active member of the Economic Club of Chicago. Mr. Summers received his Bachelor of Science in Business Administration with Management Distinction High Honors in Finance and International Business, with a minor in East Asian Studies, from Washington University in St. Louis in 2000 and his Master of Business Administration from Harvard Business School in 2005. It would be an honor to serve on the NASP Board of Directors. I believe I have a unique ability to contribute to the NASP mission of serving as a resource for the minority community at large and for the minority professionals within our industry. Coming from the alternative investment industry, I think there are unique and growing prospects for NASP to play a critical role in creating opportunities for increased participation and development of talent and capacity of firms in this industry. It is an opportunity for NASP to diversify its membership, sponsorship and talent base as well as create new opportunities for its current members. I am committed and focused on this goal for our industry and in the work I do every day at Grosvenor Capital Management, L.P. If elected to the NASP board, I will work tirelessly to advocate for the organization, its mission and its members.

William C. Thompson Jr. Senior Managing Director, Chief Administrative Officer Siebert Brandford Shank

Mr. Thompson joined Siebert Brandford Shank in April 2010, having previously served eight years as the Comptroller for the City of New York—from January 2002 to December 2009. Mr. Thompson’s extensive experience in successfully managing the finances of

one of the nation’s largest cities has afforded him unique insight into the needs

of local municipal issuers. As Comptroller, Mr. Thompson also served as custodian and investment advisor to the five New York City Pension Funds, where he managed a combined portfolio amounting to more than $100 billion at

the close of his tenure. In this role, Mr. Thompson invested hundreds of millions of dollars in affordable housing and commercial real estate in New York City. During his tenure, Mr. Thompson also worked with leaders of the financial services industry to reform the operations of the New York Stock Exchange, and spearheaded the City’s innovative Banking Development District program. Mr. Thompson also

served as a Senior Vice President in Public Finance in the mid-1990s. Mr. Thompson is a graduate of Tufts University. Prior to his work as Comptroller, he had served as Brooklyn Deputy Borough President and as a Member and five-term President of the New York City Board of Education.

For almost 2 decades, I have worked with the members and leadership of NASP to advance its mission and objectives. (As the Comptroller of New York City, I worked with NASP to identify best practices from around the country, which assisted us in developing one of the largest, most aggressive MWBE/ multi-level emerging manager initiatives in the nation. And we continued to work with NASP to expand and strengthen that initiative and unveil new ones over the next few years.) (I have been a member of and a partner with NASP for many years and feel that with my diverse background I could contribute even more as a member of the Board of Directors.)