Mills Rooks

I'm bursting with ideas!

It isn't easy.........

Thinking it is easy.........

1. Be proactive. Success does not come to you. You go to it.
2. Know your product/service better than anyone else.
3. Tell the story truthfully.

Dynamic financial and systems trading professional and accomplished project development leader with more than 25 years experience in securities and securities related industries, as well as a diverse business project development history. 

• Currently registered as a CTA/CPO and RIA firm principal, applicant holds or has held Series 3, Series 4, Series 7, Series 8, Series 24, Series 55, Series 63 and Series 65 registration qualifications, with a spotless regulatory record (CRD # provided upon request); importance of regulatory compliance recognized and understood.
• Experienced in trading operations for stocks, ETF’s, options, forex and futures; has directed the efforts of diverse traders, managing the sometimes difficult personality types associated with that personality type; first-hand trader management experience through the development and ownership of a proprietary trading firm.  Experienced with certain computer generated algorithmic trading systems and risk management related to this type of trading.   Principal of Lowcountry Capital Management, LLC, an RIA/CTA/CPO firm formed to manage in-house hedge funds utilizing a proprietary trading (“quant”) system jointly developed by this applicant.
• Have contributed formative efforts to diverse business interests such as bank formations (2), an international shipping company, a major aquaculture project (shrimp), and a behavioral health hospital for children and adolescents.
• Produced as a retail broker in stocks and futures for major securities firms, achieving production awards and official appointments.  Also, served as a futures technical analyst for a large regional brokerage firm.
• Has a “market Ph. D” in trading for over two decades.  Understands risk management pitfalls and trader/client danger signals. 

Securities and Futures Trading Operations * Business Project Development * Investment Planning * Financial Services Marketing * Client Management * Securities Technical Analyst * Strategic Planning * Risk Management * Financial Pro Forma Development * Financial Product Sales * Trader Team Management

________________________________________________________________________

Professional Experience

Wellness Center Partners, LLC, Albany, GA.  (2007 – Present)

Founder, Member

Organized an investment group to purchase, remodel and operate a closed US Navy hospital located in Albany, GA.  The project is the “Flint River Recovery Center for Children and Adolescents”, a behavioral health hospital treating drug, alcohol and eating disorders in the young.  Negotiated with diverse management companies to ultimately choose Diamond Healthcare Group of Richmond, VA, to operate the facility.  Helped prepare data for the Georgia Certificate of Need application, resulting in granting of the permit.  Coordinated financing efforts for the facility.  Construction is expected to begin late 2011.

Lowcountry Capital Management, LLC, Port Royal, SC.   (2005 – Present)

Founder, Managing Member, CEO

Originally established as a hedge fund management company, the company has mainly operated as a consulting company to hedge fund startups, as well as a trading entity.  Develops and operates certain computerized trading systems.  Principal owns the proprietary computerized trading system designed to drive two hedge funds (Lowcountry Long/Short Equity Fund, LLC, and Lowcountry Absolute Return Fund, LLC, a futures fund).

Ocean’s Bounty Partners, LLC, Ridgeland, SC.  (2004 – Present)

Founder, Member

In conjunction with the Waddell Mariculture Development and Research Center in Bluffton, SC, this facility was established to become a high-tech closed-loop shrimp/fish production system.  Coordinated the location and purchase of the facility site in Jasper County, SC, participated in design of the facility, and located the investment group to fund the project.  This project is presently under construction.

Securities Direct Trading, LLC, Winter Park, FL.  (1999 – 2002)

Founder, Member, CEO

Owned and operated a proprietary trading firm with a maximum of 20 traders.   Managed all aspects of the operating business, including constant interaction with traders.  Firm was returning 8% per month on capital until decimalization changed the business model.

Merrill Lynch, Robinson Humphrey Co., Interstate Johnson Lane, NationsBank Securities  (1980 – 1999)

Financial Consultant, Futures Trader, Office Manager, Technical Analyst, Assistant Vice President, Vice President

Held various positions with major securities firms.  Was in various high performance categories as a “producer” and was designated Assistant Vice President and Vice President as a result of accomplishments.  Has never had a securities regulatory problem.

Miscellaneous

Graduate of Ga. Tech, Bachelor of Industrial Engineering

Honorable Discharge, US Army Reserve, Captain