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Mr. McGinnis is the Chief Regulatory Officer of Loring Ward Securities, Inc. based in San Jose, California. He also serves as the Chief Compliance Officer for the SA Funds Investment Trust, an investment company complex and as Chief Regulatory Officer for LWI Financial, Inc., the Funds’ investment adviser. Previously, Mr. McGinnis has served as a consultant and expert witness for investment advisers, broker-dealers and law firms on matters involving federal, state and self-regulatory securities compliance requirements. He has also served as the Chief Legal Officer and Chief Regulatory Officer for National Planning Holdings, Santa Monica, CA, a holding company for the US-based affiliated broker-dealers and investment advisers of Prudential plc, London, United Kingdom.He served as General Counsel and Chief Executive Officer of a broker-dealer and investment adviser in Irvine, California, which merged into the Pacific Life Securities Division, and was an attorney for the Securities and Exchange Commission in both Regulation and Enforcement.Participation in industry related activities has been important in Mr. McGinnis’ life. He has formerly served as: Chair on the FINRA’s National Advisory Council; Chairman of District 2 (Los Angeles) Business Committee; and was a member of its national committees for Direct Participation Program Securities and Arbitration and Mediation. Currently he is a member of the Examination Review Committee for the Series 22 and 39 licenses for the FINRA and West Coast Series 6 Committee for the NYSE. He has also served for three years as President of the National Association of Independent Broker-Dealers and for seven years a member of its Board.Mr. McGinnis is an attorney, admitted to the bars of California, Texas and Kansas, the Fifth and Tenth Circuit Courts of Appeal and the US Supreme Court and has practiced law with firms in California and Kansas. He also has his General Securities (Series 7), State Law (Series 63) and General Securities Principal (Series 24) licenses. | 