Employment Background Credentials:
Table of Contents
1. Financial Industry Regulatory Authority (FINRA) Snapshot Report, from 1979 - 2009
2. Commonwealth of Massachusetts Citations, 1990
3. Appointment as Director to TEAM Board in Colorado, 1995
4. Appointment as Member to Retirement Board, Mendocino County, California, 2012 and Proclamation Honoring John Sakowicz
5. Appointment as Public Appointee to Oversight Board, Mendocino County Redevelopment Successor Agency , California, 2012
6. Certificates of Training:
Ethics in Public Service, Manatt, Phelps &Phillips, LLP, 2012;
Principles of Pension Management for Trustees, Stanford University Law School, 2012;
Public Pension Investment Management Program, Haas School of Business, University of California, Berkeley, 2013;
Advanced Principles of Pension Management for Trustees, John E. Anderson Graduate School of Management, University of California, Los Angeles, 2015
Ethics in Public Service 2016
1. Financial Industry Regulatory Authority (FINRA) Snapshot Report 1979- 2009
MAY 19, 2009
JOHN SAKOWICZ
1201 EL DORADO ROAD
UKIAH, CA 95482
Dear JOHN SAKOWICZ:
Attached is the Snapshot Report that you requested on May 19., 2009. Please disregard the numbering on the pages; it is for internal use only. If you are planning to forward this report, please retain a copy for your records.
For future requests, please complete and submit the Snapshot Report Request Form available on the FINRA Web Site at http:J/www.finra.org/snapshot. A copy of the form is attached for your convenience.
If you need additional assistance, you may contact the Gateway Call Center at 301.590.6500.
Sincerely,
Paraskevoula Hays
Associate Director, Registration Management Registration and Disclosure Department
Investor protection. Market integrity. 9509 Key West Avenue t 301 590 6500
Rockville. MD f ·240 386 5340
20850 www.finra.org
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CRD® or IARD(SM) System Current As Of: 05/18/2009 Snapshot • lndlvidual
CRD® or IARD(SM) System Report provided to: FINRA
Request Submitted: 5/19/2009 10:44:26 AM Page 1 Of 6
Notice
CRD® or IARD(SM) Information: This report contains information from the CRD (Central Registration Depository) system, or the IARD system (Investment Advisers Registration Depository), which are operated by FINRA, a national securities association registered under the Securities Exchange Act of 1934. The CRD system primarily contains information submitted on uniform broker-dealer and agent registration forms and certain other information related to registration and licensing.The IARD system primarily contains information submitted on uniform investment adviser and agent registration forms and certain other information related to registration and licensing. The information on Uniform Forms filed with the CRD or IARD is deemed to have been filed with each regulator with which the applicant seeks to be registered or licensed and shall be the joint property of the applicant and such regulators. The compilation constituting the CRD database as a whole is the property of FINRA. Neither FINRA nor a participating regulator warrants or guarantees the accuracy or the completeness of the CRD or IARD information. CRD information consists of reportable and non-reportable information.
FINRA operates the CRD system in its capacity as a registered national securities association and pursuant to an agreement with the North American Securities Administrators Association, Inc. (NASAA).
FINRA operates the IARD system as a vendor pursuant to a contract with the Securities and Exchange Commission and undertakings with NASAA and participating state regulators.
Reportable lnformation: Information that is required to be reported on the current version of the uniform registration forms.
Non-Reportable lnformation: Information that is not currently reportable on a uniform registration form. Information typically is not reportable because it is out-of-date; it was reported in error; or some change occurred either in the disposition of the underlying event after it was reported or in the question on the form that elicited the information.
Although not currently reportable, this information was once reported on a uniform form and, consequently, may have become a state record. Users of this information should recognize that filers have no obligation to update non reportable data; accordingly, it may not reflect changes that have occurred since it was reported.
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CRD® or IARD(SM) System Current As Of: 05/18/2009 Snapshot - Individual
CRD® or IARD(SM) System Report provided to: FINRA
Request Submitted: 5/19/2009 10:44:26 AM Page 2 Of 6
CRD® or IARO(SM) System Current As Of: 05/18/2009
Snapshot - Individual
CRD® or IARD(SM) System Report provided to: FINRA
Request Submitted: 5/19/2009 10:44:26 AM Page 2 Of 6
Details for Request#: 6017901
Report: Snapsot- Individual
Requested By: MZ
Parameter Name Value
Request by CRD # or SSN: CRD#
Individual CRD # or SSN 87159
Include Personal Information? No
Include All Registrations with Employments: Both Current and Previous Employments
Include All Registrations for Current and/or Previous Employments with:
All Regulators Include Professional Designations? Yes
Include Employment History? Yes
Include Other Business. Yes
Include Exam Information? Yes
Include Continuing Education Information? (CRD Only) Yes
Include Filing History? (CRD Only) Yes
Include Current Reportable Disclosure Information? Yes
Include Regulator Archive and Z Record Information? (CRD Only) · No
Is this a Pre-Registration Report Request? (CRD Only) No
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CRD® or IARD(SM) System Curret As Of: 05/18/2009
Snapshot • lndividual
CRD® or IARD(SM) System Report provided to: FINRA
Request Submitted: 5/19/2009 10:44:26 AM Page 3 Of 6
Individual 871589 • SAKOWICZ JR, JOHN JOSEPH
AdministrativeInformation Composite Information
Full Legal Name SAKOWICZ JR, JOHN JOSEPH
Year of Birth 1952
State of Residence CA
Active Employments « No Current Active Employments found for this Individual.»
Reportable Disclosures? The specified individual has no disclosure that qualifies for reporting under this section (i.e.,disclosure required to be reported on Form U-4 or Form U-5).
Regulatory and Broker/Dealer Users: Please note that there are three types of disclosure in Web CRD: Reportable, Legacy and Archive disclosure. An individual with no reportable disclosure may or may not have Legacy or Archive disclosure. Investment Adviser Users:Please note that IARD.does not include Legacy disclosure. Information reported on previous form filings through IARD is available under Filing History.
Statutory Disqualification? BLNK
Registered With Multiple Firms? No
Material Difference In Disclosure? No
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Registrations with Current Employer(s)
<<No Registrations with Current Employer(s) foundfor thisIndividual.>> Registrations with Previous Employer(s)
From 12/27/2004 To 03/31/2006 UBS FINANCIAL SERVICES INC.(8174)
Reasonfor Termination Other
Termination Comment REGISTRATION NO LONGER REQUIRED. EMPLOYEE ON LEAVE.OF ABSENCE.
-
Regulator Registration Category Status Date Registration Status Approval Date
AMEX GS 03/31/2006 T_NOREG
ARCA GS 03/31/2006 T_NOREG
CA AG 03/31/2006 T_NOREG
CA RA 03/31/2006 T_NOREG
CBOE GS 03/31/2006 T_NOREG
FINRA GS 03/31/2006 T_NOREG
NJ AG 03/31/2006 T_NOREG
NYSE GS 03/31/2006 T_NOREG
PHUC GS 03/31/2006 T_NOREG
---------------------------------------------------------------------------------------------------------------------------------------
Professional Designations
<<No ProfessionalDesignations found for this Individual.>>
CRD® or IARD(SM) System Report - See notice regarding CRD Data on cover page
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CRDor IARD(SM) System Current As Of: 05/18/2009 Snapshot • Individual
CRD® or IARD(SM) System Report provided to; FINRA
Request Submitted: 5/19/2009 10:44:26 AM Page 4 Of 6
Individual 871589 • SAKOWICZ JR, JOHN JOSEPH
Administrative Information
Employment History
From 12/2004 To Present Name UBS FINANCIAL SERVICES INC
Location
Investment Related Yes
From 01/200 To · 08/2004 Name
Location
Position
Investment related
From 06/1988 To 07/2004 Name BATTLE MOUNTAIN RESEARCH GROUP
Location GRAND CAYMAN, CAYMAN ISLANDS
Position PARTNER
Investment Related Yes
Office of Employment History
From 12/2004 To 03/2006
Name UBS FINANCIAL SERVICES INC. (8174)
Independent Contractor
Office of Employment Address
CRD NYSE Branch Firm Billing Registered Private Address Address Type
Branch# Code# Code Location? Residence? Start Date End Date of Office
2004K No No 12/27/2004 03/31/2006 Located
At Address 6570 OAKMONT DRIVE ,
SANTA ROSA, CA 95409 USA
Other Business
<<No Other Business found for thisIndividual.>>
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Examination Information
Exam Status Status Date Exam Date Grade Score Window Dates
S3 EXPIRED 4/15/1986 0
S66 EXPIRED 7/1/2005 3/2/2005-6/30/2005
S63 OFFICIAL_RESULT 11/16/1979 11/16/1979 PASSED 90
S7 OFFICIAL_RESULT 9/15/1979 9/15/1979 PASSED 220
S7 EXPIRED 7/1/2005 3/2/2005-6/30/2005
.... ..
CRD® orIARD(SM) System Report --See notice regarding-CRD Data-on cover page.
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CRD® or IARD(SM) System Current As Of: 05/18/2009
Snapshot - Individual
CRD® or IARD(SM) System Report provided to: FINRA
Request Submitted: 5/19/2009 10:44:26 AM Page 6 Of 6
Individual 871589 - SAKOWICZ JR, JOHN JOSEPH
Reportable Events
«No Reportable Events found for this Individual.»
CRD® orIARD(SM) System Report -- See notice regarding CRD Data on cover page
2. Commonwealth of Massachusetts Citations, 1990
3. Appointment as Director to TEAM Board in Colorado, 1995
4. Appointment as Member to Retirement Board, Mendocino Cou
5. Appointment as Public Appointee to Oversight Board, Mend
John Sakowicz Employment Background Credentials: Selected official financial documents, citations
If customers can’t find it, it doesn’t exist. Clearly list and describe the services you offer. Also, be sure to showcase a premium service.
6. Certificates of Training:
Ethics in Public Service Training 2012
CALPERS Training in Public Pension Management- 2012, 2013,
Ethics in Public Service 2016
Judy Zeller - Fwd. ethics training crtificate
From: <sako4@comcast.net>
To: "Ze11er, Judy" <ze11erj@co.mendocino.ca.us>
Date: 10/6/2016 6:46 PM
Subject: Fwd. ethics training crtificate
Control No: 347226
Public Service Ethics Education
Online Proof of Participation Certificate Date of Completion: Oct 06, 2016
This course is an overview course on all public service ethics issues necessary to satisfy the requirements
of Article 2.4 of Chapter 2 of Part 1 of Division 2 of Title 5 of the Government Code, including the following:
• Laws relating to personal financial gain by public servants, including, but not limited to, laws prohibiting bribery and conflict-of-interest laws.
• Laws relating to claiming perquisites ("perks") of office, including, but not limited to, gift and travel restrictions, prohibitions against the use of public resources for personal or political purposes, prohibitions against gifts of public funds, mass mailing restrictions, and prohibitions against acceptance of free or discounted transportation by transportation companies.
• Government transparency laws, including, but not limited to, financial interest disclosure requirements and open government laws.
• Laws relating to fair processes, including, but not limited to, common law bias prohibitions, due process requirements, incompatible offices, competitive bidding requirements for public contracts, and disqualification from participating in decisions affecting family members; and
• General ethical principles relating to public service.
The Fair Political Practices Commission and Attorney General have reviewed this course for course sufficiency and accuracy.
By signing below, I certify that I fully reviewed the content of the entire online AB 1234 course approved by the Attorney General and Fair Political Practices Commission and am entitled to claim two hours of public service ethics law and principles credit.
---John
Sakowicz---------------------------------------------------------------------------
Participant Signature Participant Name
MCERA----------------------------------
Agency Name
NOTE TO PARTICIPANT: Please provide a copy of this proof of participation to the custodian for such records at
your agency. In addition, we recommend you make a copy of this proof of participation for your own records to
retain for at least five years. To preserve the integrity of the online certification process; these
certificates are only
available upon completing the online session. * To satisfy AB 1234 requirements, this certificate must reflect that
the public official spent two hours or more reviewing the materials presented in the online course. If the certificate
reflects less than two hours, the participant should have on file additional certificates demonstrating that the official
has satisfied the entire two hour requirement.
John Sakowicz
October 6. 2016
341208.
MCERA pe your paragraph here.
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