Investment & Operations

Lesa A. Sroufe, CFA

President & Chief Investment Officer

As the President and Chief Investment Officer, Lesa Sroufe leads investment strategy and process. With over 35 years of securities research and analysis experience, Lesa continues her practice of seeking out securities she believes are undervalued, often out of favor with mainstream investors and, in her opinion, priced under their potential fair value.

Lesa Sroufe was employed by Ragen MacKenzie, a NYSE member brokerage firm and its subsequent owner, Wells Fargo & Co., for 14 years. During much of her career at Ragen MacKenzie, Lesa Sroufe was the Research Director. She also served as Chairman and CEO prior to the Companyís initial public offering in 1998 and through its sale to Wells Fargo, in 2000. Prior to her employment with Ragen MacKenzie, Lesa was affiliated as a securities analyst with Foster & Marshall Inc., which is now a part of Morgan Stanley. After the Wells Fargo acquisition of Ragen MacKenzie, Lesa was appointed Director of Research and member of the Executive Committee for Wells Fargoís Private Asset Management division. Lesa managed the research effort of 90 portfolio managers/analysts reporting on 360 companies.

Education and Significant Affiliations

B.A. Business, University of Washington
Chartered Financial Analyst, Member of the CFA Society of Seattle and AIMR
Trustee, CFA Society of Seattle, 2016-Current
Member & Board Member of Achievement Rewards for College Scientists, Seattle Chapter, 2003-Current
Co-President, Washington Middle School PTSA, 2012-2014
Lecturer, Univ. of Washington MBA Program, Finance 579, Practical Investment Management, 2003-2004
Board Member, Securities Industry Association, 1998-2000

Shaun E. Corry

Chief Compliance Officer & Portfolio Analyst

Shaun Corry joined Lesa Sroufe & Company in May of 2006. As Chief Compliance Officer, Shaun reviews and ensures that LSC's compliance and operational aspects achieve the highly compliant risk assessment as defined by the SEC. As both bond and stock portfolio analyst, Shaun researches, selects, and monitors client fixed income holdings using tools such as FactSet and dealer publications.

Prior to joining LSC, Shaun worked for the NASD, the self-regulatory group overseeing the broker/dealers in the securities markets, for 17 years. She served, first as Senior Examiner and then as Compliance Specialist in Seattle. Shaunís work spanned all areas of NASD operations, including investor education, admitting new member firms, and conducting audits and investigations of member firms and their registered representatives.

Education and Significant Affiliations

B.A. Accountancy, University of Notre Dame
M.B.A., Finance, Seattle University
NASD Series 65
Board of Directors, Northwest Chief Compliance Officers Meeting Group 2008-Current
Board Member, Seattle Chamber Music Society 2008-Current
Board of Directors, Agros International 2012-Current
Member, Resource Development Board, Habitat for Humanity King County 2013-Current

Elizabeth A. Fleming

Vice President, Research Associate

Elizabeth Fleming has worked with Lesa Sroufe & Company for a total of eight years. As Vice President, Research Associate, Beth assists the Chief Investment Officer with equity research. In addition, Beth maintains LSCís GIPS-compliant composites.

Prior to her research duties, Beth managed operations and marketing for LSC. In 2012, she worked for the Heritage Foundation in the endowment management division. Beth is currently enrolled in the MBA program of The College of William and Mary.

Education and Significant Affiliations

B.A. Business, University of Washington
NASD Series 65
M.B.A. Candidate at the College of William and Mary

Beverly A. Maxwell

Operations Manager

Beverly Maxwell joined Lesa Sroufe & Company in January, 2017. As Operations Manager, Beverly runs operations, including managing LSCís internal record keeping system, trading operations and client services.

Beverly has nearly 30 years of experience in the financial services industry, having worked for Wells Fargo Advisors and its predecessor firm, Ragen MacKenzie Inc., for a total of 21 years in operations. In addition, Beverly worked for Safeco Trust (now BNY Mellon) and DA Davidson, both in operations and client associate capacities.

Education and Significant Affiliations

Previously held Series 7 & 63 licenses
Volunteer for Cedar Park Christian, MLT Campus School Auction Committee

Stanley S. Barnes

Marketing & Client Relations Associate

Stanley Barnes joined Lesa Sroufe & Company in June 2016. As Marketing and Client Relations Associate, Stanley assists with the companyís client reporting, marketing, sales, and operations.

Prior to joining LSC, Stanley worked with Fisher Investments for 2 and a half years. As a Senior Client Development Associate, Stanley partnered with 16 top Vice Presidents to optimize client growth and retention. Previously, as Investment Associate with Fisher Investments, he worked on client onboarding, maintenance, and development.

Education and Significant Affiliations

B.A. Economics, Chinese, and Asian Studies, University of Colorado Boulder
NASD Series 65