Clay James Anderson

FOR THE PAST 20 YEARS, APPLICANT HAS BEEN IN A PARTNERSHIP WITH HIS FAMILY REGARDING AN AGRICULTURAL OPERATION IN COLORADO. THIS IS NOT INVESTMENT-RELATED, AND HIS TIME DEVOTED TO THE ENTERPRISE OCCURS ON THE WEEKENDS (ESTIMATED TO BE 10 HOURS PER MONTH). HIS ROLE IS PRIMARILY INVOLVED IN THE CARETAKING OF LIVESTOCK. ALSO, SINCE SEPTEMBER 1, 2015, APPLICANT HAS FROM TIME TO TIME PARTICIPATED IN SHORT-TERM PROJECTS FOR BUSINESS CLIENTS, USING THE KNOWLEDGE AND SKILLS EARNED THROUGH THE CHARTERED FINANCIAL ANALYST� (CFA�) PROGRAM. HE COULD ADVISE ON THE ANALYSIS OF FINANCIAL STATEMENTS, MERGERS AND ACQUISITIONS. ALL PROJECTS INVOLVE NON-PUBLICLY TRADED ENTITIES. THESE ENGAGEMENTS WOULD NOT BE PERFORMED FOR MONEY PROFESSIONALS INVESTMENT ADVISORY OR FINANCIAL PLANNING CLIENTS. APPLICANT, AS AN INDEPENDENT CONTRACTOR, IS COMPENSATED EITHER ON AN HOURLY BASIS OR ON AGREED SCOPE OF WORK. HIS WORK PREDOMINANTLY OCCURS OUTSIDE OF SECURITIES TRADING HOURS; OCCASIONAL MEETINGS TO DISCUSS HIS FINDINGS OR RECOMMENDATIONS MIGHT OCCUR DURING THE NORMAL WORK DAY BUT WOULD BE INCIDENTAL, AND WOULD OCCUR VIA PHONE OR VIDEO-ENABLED CHANNELS. APPLICANT MAY SPEND UP TO 10 HOUR PER WEEK ON THESE ASSIGNMENTS, WHEN CONTRACTED.