Schwab Soundview Capital Markets
Industry: Capital market company
DescriptionFounded: 1967 Parent organization: UBS Americas Inc. Subsidiary: Bunker Capital, L.L.C.
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Schwab Soundview Capital Markets Employees
Susquehanna International Group June 2010 - Present
Bank of America August 2007 - July 2010
Citigroup Investment Research 2004 - 2007
SCHWAB SOUNDVIEW CAPITAL MARKETS March 2001 - October 2004
BARCLAYS CAPITAL March 1998 - March 2001
DONALDSON, LUFKIN & JENRETTE May 1990 - February 1998
Drexel Burnham Lambert 1983 - 1990
Skills
Research, Equity Research, Equities, Management, Capital Markets, Series 7, Bloomberg, Hedge Funds, Supervisory Analyst, Financial Editor, Research Production, Financial Analysis, Series 24, Fixed Income, Investments, Securities, Financial Modeling, Compliance
Education
Ohio Wesleyan University 1977 — 1981
Bachelor of Liberal Arts, Sigma Gamma Epsilon (Earth Science Honor Society)
Conard High School 1973 — 1977
Bloomberg Tradebook June 2015 - Present
Bloomberg Tradebook June 2014 - June 2015
Bloomberg Tradebook January 2007 - June 2014
Bloomberg LP (Sell Side OMS) September 2005 - December 2006
Themis Trading LLC December 2004 - August 2005
Schwab Soundview Capital Markets August 1999 - November 2004
Skills
Series 7, Trading, Series 63, Securities, Series 24, Trading Strategies, Market Structure, Electronic Trading, Market Making, Bloomberg Terminal, Equities
Education
Cornell University - S.C. Johnson Graduate School of Management 2007 — 2009
MBA, Business, Management, Marketing, and Related Support Services
University of Pennsylvania 1995 — 1999
BA, Mathematics and Italian
Universita' Commerciale Luigi Bocconi 1998 — 1998
Bachelor's degree, Mathematics
Liquidnet November 2007 - Present
Citi November 2004 - November 2007
Schwab Soundview Capital Markets May 2003 - October 2004
Bank of America May 2002 - April 2003
Barclays Global Investors December 1999 - May 2002
Education
UC Berkeley 1993 — 1997
Bachelor's degree, Economics
Diamond Bar High School 1989 — 1993
Cowen and Company February 2011 - Present
Oppenheimer & Co. November 2006 - February 2011
Credit Suisse April 2005 - November 2006
Jefferies & Company November 2004 - April 2005
Schwab Soundview Capital Markets November 2003 - November 2004
Citi August 1999 - November 2003
Citi February 1998 - August 1999
Datek Online June 1996 - February 1998
Skills
Valuation, Equity Research, Equities, Capital Markets, Investment Banking, Financial Services, Analytics
Education
Columbia University in the City of New York 1991 — 2006
Bachelor of Arts (B.A.), Economics
Strategic Global Advisors, LLC January 2008 - Present
Harris Investment Management January 2006 - December 2007
Deutsche Bank November 2004 - July 2005
Schwab Soundview Capital Markets February 2000 - October 2004
Ibbotson Associates August 1998 - February 2000
RogersCasey June 1995 - August 1998
Andersen Consulting June 1989 - June 1993
Skills
Portfolio Management, Asset Management, Equities, Portfolio Optimization, Risk Modeling, Investments, Quantitative Research, Quantitative Analysis, Performance Attribution, Factset, Asset Allocation, Quantitative Finance, Optimization, Equity Research, Institutional...
Education
Cornell University - Johnson Graduate School of Management 1993 — 1995
MBA, Finance
Purdue University 1985 — 1989
BS, Computer & Electrical Engineering
Kirnan Coaching Associates, LLC November 2014 - Present
Holy Family University November 2011 - 2012
The College of New Jersey February 2007 - April 2009
Rutgers Business School August 2005 - February 2007
Schwab Soundview Capital Markets 2004 - 2004
Credit Suisse First Boston August 1998 - June 2003
Salomon Brothers May 1992 - August 1998
Kidder Peabody July 1986 - May 1992
Merrill Lynch May 1984 - July 1986
Texaco July 1981 - April 1984
Skills
Financial Modeling, Equity Research, Valuation, Investments, Equities, Management, CRM, Finance, Hedge Funds, Portfolio Management, Alternative Investments, Economics, Fixed Income, Asset Management, Options, Capital Markets, Investment Banking, Leadership
Education
New York University 2014 — 2015
Certificate Program in Executive and Life Coaching, Organizational and Personal Skills Coaching
Fordham University 1979 — 1983
Ph.D., Economics
Fordham University 1977 — 1979
MA, Economics
Seton Hall University 1973 — 1977
BA, Economics/Government
Paramus Catholic High School 1969 — 1973
High School Diploma, College Preparatory
Citigroup June 2006 - Present
Banc of America Securities September 2005 - June 2006
Citigroup October 2004 - September 2005
Schwab Soundview Capital Markets December 1995 - October 2004
Deutsche Bank May 1995 - December 1995
Baring Securities(Barings Bank) January 1995 - May 1995
Home Box Office (HBO) August 1994 - January 1995
Moore Capital Management/I.M.S. June 1993 - August 1994
Skills
Cisco Technologies, Data Center, Network Administration, Troubleshooting
Education
Bloomsburg University of Pennsylvania 1991 — 1993
Bachelor of Science, Business:Computer and Information Science
Cisco Press
CCNA, Cisco Certified Network Associate: Exams 640-811 and 640-821
Cisco Press
CCDA, Cisco Certified Design Associate: Exam 640-863
Point72 Asset Management June 2014 - Present
Susquehanna International Group March 2010 - June 2014
Pali Capital March 2008 - March 2010
CIBC World Markets February 2006 - February 2008
CIBC World Markets November 2004 - February 2006
Schwab Soundview Capital Markets 2003 - 2004
SoundView Technology Group 2002 - 2003
Wit SoundView (Merger of Wit Capital and SoundView Technology Group) 1999 - 2002
Smith Barney (later Salomon Smith Barney) August 1995 - March 1999
Mabon Securities 1994 - 1994
Skills
Equities, Equity Research, Equity Capital Markets, Equity Trading, Trading, Series 7, Series 63, Hedge Funds, Capital Markets, Derivatives, Strategy, Options, Investment Banking, Bloomberg
Education
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 1993 — 1995
M.B.A., Finance
Colgate University 1985 — 1989
B.A., Political Science
Lime Brokerage LLC (A Wedbush Company) November 2008 - Present
Utendahl Capital Management December 2006 - September 2008
The Reserve Funds January 2006 - December 2006
Fulcrum Global Partners January 2004 - December 2005
Schwab Soundview Capital Markets December 2002 - December 2003
J.H. Whitney & Co. May 2000 - December 2002
Tullett Prebon January 1993 - May 2000
Dennis N. Yeulys, CPAs September 1991 - September 1992
Skills
Asset Managment, Financial Services, Corporate Finance, Trading, Private Equity, Asset Management, Options, FINRA, Internal Controls, Investments, Finance, Financial Analysis
Education
Pace University - Lubin School of Business 1993 — 1997
MBA, Finance
New York University - Leonard N. Stern School of Business 1987 — 1991
BS, Accounting & Finance (Double Major)
Genocea Biosciences December 2014 - Present
Idenix Pharmaceuticals January 2012 - September 2014
Idenix Pharmaceuticals January 2011 - December 2011
Biogen Idec March 2010 - January 2011
Biogen Idec July 2006 - April 2010
JPMorgan May 2004 - July 2006
Schwab Soundview Capital Markets March 2004 - May 2004
Bear Stearns January 2001 - March 2004
King's College London January 1999 - December 2000
Skills
Biotechnology, Immunology, Business Development, Investor Relations, Clinical Development, Oncology, Biopharmaceuticals, Drug Development, Strategy, Strategic Planning, Financial Modeling, Due Diligence, Corporate Communications, Clinical Trials, Equity Research
Education
Yale University 1992 — 1998
Ph.D., Immunobiology
Trinity University 1988 — 1992
B.S., Biology
Carroll High School
IPC Systems, Inc. August 2015 - Present
America SCORES March 2006 - Present
StreetWise Partners 1997 - Present
MSCI Inc. September 2014 - August 2015
NYSE Euronext May 2008 - September 2014
Lehman Brothers December 2004 - April 2008
Schwab Soundview Capital Markets December 2002 - December 2004
Robertson Stephens November 1999 - May 2002
PricewaterhouseCoopers September 1996 - November 1999
Skills
Financial Analysis, Equities, Fixed Income, Financial Modeling, Hedge Funds, Commodity, Investment Banking, Strategy, Due Diligence, Derivatives, Access, Valuation, IT Audit, Corporate Governance, Trading Systems, Business Valuation, Private Equity, IPO, Capital Markets, Data Analysis, Venture Capital, Financial Markets, Mergers & Acquisitions, Equity Trading, Corporate Finance, Emerging Markets, Non-profit Program..., Risk Management, Portfolio Management, Financial Services, M&A experience, Executive Management, Finance, Fundraising, Alternative Investments, Asset Management, Options, Investments, Trading, Securities, Financial Risk, Financial Structuring, Start-ups, Acquisition Integration, Restructuring, Corporate Development, Funding, FX Options, Structured Finance
Education
University of Notre Dame - Mendoza College of Business 2011 — 2013
Master of Business Administration (MBA), Magna Cum Laude
Lehigh University - College of Business and Economics 1992 — 1996
Bachelor of Science, Accounting
Notre Dame High School 1988 — 1992
Montecito Advisors January 2008 - Present
R.J Murphy & Associates January 2005 - January 2008
Schwab Soundview Capital Markets 2001 - 2004
Skills
Equities, Series 7, Options, Hedge Funds, Equity Trading, Electronic Trading, Securities, Trading Systems, Bloomberg
Education
Green Mountain College 1992 — 1996
Liberal Arts, Economics, Business Management
USFPG/UMSA December 2013 - Present
Blake Logistics LLC 2008 - December 2013
IVANS 2011 - 2011
AT&T 2006 - 2008
Schwab Soundview Capital Markets 2002 - 2005
WitSoundView 2001 - 2002
Soundview Technology Group 1997 - 2001
Skills
IT Strategy, IT Management, Vendor Management, Software Project..., Agile Methodologies, SaaS, Business Analysis, IT Operations, Mobile Technology, Project Management, Network Engineering, IIS, Disaster Recovery, Product Management, WAN, TCP/IP, Cisco Technologies, Start-ups, SQL, Data Center
Education
University of South Florida 2014 — 2016
Bachelor's Degree, Management Information Systems, General
Hillsborough Community College
Associate of Arts (AA), Computer Science
Pegasus Therapeutic Riding January 2011 - Present
UBS Investment Bank June 1999 - September 2010
Schwab Soundview Capital Markets 2002 - 2004
Charles Schwab 1999 - 2002
American Funds Distributors 1997 - 1999
Continental Bank April 1990 - September 1994
Prudential-Bache Securities 1989 - 1990
Education
University of Southern California 1987 — 1989
BS, Financial Management
Avalere Health September 2014 - Present
Applied Policy August 2013 - August 2014
Guggenheim Partners November 2011 - August 2013
Washington Research Group June 2004 - August 2013
MF Global November 2010 - November 2011
Concept Capital March 2009 - October 2010
Stanford Group Company November 2004 - March 2009
Schwab Soundview Capital Markets June 2004 - November 2004
Office of United States Senator Max Baucus 2000 - June 2004
Skills
Policy, Research, Legislative Relations, Healthcare, Policy Analysis, Public Policy, Data Analysis, Capital Markets, Due Diligence, Analysis, Strategic Planning, Strategic Communications, Advocacy, Government, Corporate Development, Equities, Investments, Business Strategy, Health Policy, Economics
Education
Macalester College 1996 — 2000
Bachelor of Arts (BA), Political Science and History
Absarokee High School 1993 — 1996
Apostolic Financial Advisors, LLC January 2013 - Present
Vandham Securities September 2010 - January 2013
UBS Investment Bank November 2004 - May 2008
Schwab Soundview Capital Markets December 1995 - October 2004
Charles Schwab October 1991 - November 1995
Skills
Socially Responsible..., Morally Responsible..., Investment Advisory, CERTIFIED FINANCIAL..., Series 4, FINRA Series 7, Series 8, Series 9, Series 10, FINRA Series 24, Series 55, FINRA Series 63, FINRA Series 65, Catholic Theology, Catholicism, Catholic Social Teaching, Theology
Education
Seton Hall University
Master of Arts (MA), Theology/Biblical Studies
University of Alabama
Master of Science (MS), Family Financial Planning and Counseling
Indiana University-Purdue University at Indianapolis
Bachelor of Science (BS), Finance
Columbia University - Fu Foundation School of Engineering and Applied Science
Manpower Group Solutions May 2013 - Present
Barnett Hill Productions January 2006 - Present
Hudson Securities January 2006 - July 2010
Access Securities May 2004 - December 2005
JNK Securities July 2003 - May 2004
Schwab Soundview Capital Markets April 1998 - September 2002
Credit Suisse First Boston August 1996 - March 1998
SoundView Technology Group April 1995 - August 1996
Schwab Capital Markets November 1984 - March 1995
Skills
Equity Trading, Series 7, Trading, Hedge Funds, Capital Markets, Investments, Investment Management, Documentaries, Series 24, Securities, Video Production, Fundraising, Avid Media Composer, Financial Services, Photoshop, Bloomberg, Corporate Videos, Video Editing, Equity Research, Non-profits, Risk Management, Marketing, Finance, Wealth Management, Event Videography, Strategy, Nonprofits, Investment Banking, Portfolio Management, Financial Markets, FINRA, Technical Analysis, Trading Systems, Proprietary Trading, CRM, ETFs, Electronic Trading, Trading Strategies, Business Development
Education
University of Miami
BA, Anthropology
Diane Turton Realtors July 2009 - Present
UBS Investment Bank May 2003 - November 2008
Schwab Soundview Capital Markets 2003 - 2005
Goldman Sachs 2001 - 2003
spear leeds and kellogg 1997 - 2001
troster singer 1992 - 1997
Ladenburg Thalmann 1982 - 1990
Skills
Real Estate, Investment Properties, Selling, Investments, Equities, Series 63, Equity Trading, Trading, Series 7, Securities, Asset Managment, Options, Capital Markets, Brokerage, Valuation, Hedge Funds, Leadership, Rentals, Sellers, Asset Management, Waterfront, Referrals, Property, Buyers, REO, Condos, New Homes, Vacation Homes, Luxury, Relocation, Real Estate Transactions, Investors, Short Sales, Foreclosures, e-PRO, Single Family Homes, Townhomes, Real Property, New Home Sales, SFR, First Time Home Buyers, Listings, Relocation Buyers, Real Estate Development, Seniors, Residential Homes, Sales
Education
Levin Institute
Rutgers University-New Brunswick
BS, Economics and Finance
Instinet Incorporated June 2014 - July 2015
Instinet Corporation December 2008 - June 2014
Nomura Securities November 2003 - December 2007
Schwab Soundview Capital Markets 2001 - 2003
Epoch Partners 2000 - 2001
Bank of America Securities 1998 - 2000
Skills
Trading Systems, Electronic Trading, Automated Trading, Equity Derivatives, Low Latency, Exchange Connectivity, Program Trading, Proprietary Trading, Equity Trading, Equities, Trading, Trading Strategies, Market Data, Financial Markets, Capital Markets
Education
University at Albany, SUNY 1996 — 1998
BS, Computer Science, Mathematics
Q4 Web Systems 2014 - Present
LOYAL3 2012 - 2014
My Social Mashup / Social MarCom - Acquired by Private Company 2011 - 2013
NASDAQ OMX 2005 - 2011
Shareholder.com - Acquired by NASDAQ in 2006 2005 - 2011
Schwab Soundview Capital Markets 1999 - 2005
Morgan Stanley Dean Witter 1996 - 1999
Skills
Entrepreneur, Social Entrepreneurship, Intrapreneurship, Financial Sector, Capital Markets, Trading, Market Data, Deal Making, Strategic Planning, Investor Relations, Public Relations, Corporate Communications, P&L Management, Sales Management, Sales Process, Direct Sales, Software Sales, SaaS, PaaS, Social Media, Business Relationship..., Sales Trainings, Team Motivator, SEO, SMO, Board Relations, Strategic Partnerships, Consultative Selling, Mentoring Of Staff, corporate sales, Software Project..., Brand Development, Start-ups, Investments, Stock Market, Investment Products, eCRM, Loyalty Marketing, Digital Strategy, Development of..., Disruptive Technologies, Entrepreneurship, Sales, Project Management, Fundraising, Financial Services, Leadership, Marketing, Marketing Communications, Strategy
Education
Rutgers University
Mini MBA - Social Media Marketing
University of Pennsylvania - The Wharton School
Sales, Entrepreneurship
Wagner College
Business Administration
Sparky's Adventures September 2003 - Present
Kaupthing Bank January 2008 - October 2008
CreditSights January 2005 - November 2006
Schwab Soundview Capital Markets July 1992 - October 2004
SoundView Technology Group 1992 - 2004
Gartner 1990 - 1992
Skills
Equity Research, Editing, Equities, Trading Systems, Hedge Funds, Analysis, Capital Markets, Finance, Investments, Valuation, Series 7, Financial Markets, Private Equity, Bloomberg, Investment Banking, Management
Education
Syracuse University 1979 — 1982
BS, Newspaper Journalism/English
Riverside Research Institute November 2010 - Present
Global Atlantic Partners LLC 2010 - 2014
Global Atlantic Partners LLC 2010 - 2014
Global Atlantic Partners LLC 2010 - 2014
U.S. Trust Bank of America Private Wealth Management July 2007 - April 2009
Hostelling International USA November 1999 - November 2008
US Trust November 2004 - June 2007
Schwab Soundview Capital Markets April 2004 - October 2004
Schwab Soundview Capital Markets June 1999 - March 2004
Charles Schwab November 1996 - May 1999
Skills
Financial Modeling, Financial Analysis, SEC filings, Strategy, Mergers & Acquisitions, Investor Relations, Sarbanes-Oxley Act, Finance, Strategic Planning, Start-ups, Internal Audit, Analysis, Auditing, Accounting
Education
New York University - SCPS 2009 — 2010
Certificate in Real Estate Finance & Investment
University of California, Berkeley, Haas School of Business 1975 — 1977
MBA, Accounting
University of California, Berkeley 1973 — 1975
BS, Business Administration
BlackRock March 2013 - Present
BlackRock December 2009 - March 2013
Barclays Global Investors February 2005 - December 2009
Schwab Soundview Capital Markets 2003 - 2004
Goldman Sachs July 2000 - April 2003
Restaurant-Trade.com February 2000 - July 2000
Scripps Institution of Oceanography December 1993 - January 2000
Skills
Greenplum, OneTick, Complex Event Processing, Tick Analytics, High Frequency, Tableau, Panopticon, Real-time Analytics, Analytics, Big Data, Business Analysis, Data Modeling, Data Warehousing, Databases, ETL, High Frequency Trading, High Performance..., Management, Market Data, SQL, Strategy, Sybase, Web Analytics, Trading Systems, Agile Methodologies
Education
University of California, San Diego 1989 — 1994
BS, Physics
Columbia University - Columbia Business School
MBA, Business
University of California, Berkeley, Haas School of Business
MBA, Business
UBS Investment Bank March 2013 - Present
UBS Investment Bank September 2010 - February 2013
Metlife Investments July 2008 - August 2010
Columbus Nova January 2005 - June 2006
Schwab Soundview Capital Markets 2003 - 2005
Skills
Investment Banking, Private Equity, Leveraged Finance, Investments, LBO, Mezzanine, Growth Capital, Recapitalizations, Debt Restructuring, Credit Analysis, Equities
Education
University of Pennsylvania - The Wharton School 2006 — 2008
MBA, Finance and Real Estate
Caltech
B.S., Mechanical Engineering
ClearView Energy Partners, LLC August 2012 - Present
Women's Council on Energy & Environment January 1992 - December 2014
Robert W. Baird & Co. May 2009 - July 2012
Stanford Group Company November 2004 - March 2009
Schwab Soundview Capital Markets July 1999 - November 2004
Skills
Equity Research, Financial Modeling, Equities, Energy Policy, Portfolio Management, Hedge Funds, Energy, Valuation, Strategic Planning, Investments, Bloomberg, Due Diligence, Series 7, Renewable Energy, Financial Analysis, Asset Managment, Investment Banking, Research, Private Placements, Capital Markets, Analysis, Alternative Investments, Environmental Impact..., Legislation, Environmental Awareness, Private Equity, Asset Management, Emerging Markets, Trading, Mergers, Economics, Mergers & Acquisitions, Corporate Development, Corporate Finance, Project Finance, Fixed Income, Venture Capital, Commodity, Electricity Markets, Finance, Cleantech, Natural Gas, Public Policy, Policy, Investment Management, Asset Allocation, Investor Relations, Environmental Policy, Commodity Markets
Education
The George Washington University 1998 — 2000
MBA
Boston College 1985 — 1989
Bachelor of Arts
Oppenheimer & Co. November 2006 - Present
Credit Suisse April 2005 - November 2006
Schwab Soundview Capital Markets October 2003 - November 2004
Salomon Smith Barney August 1999 - September 2003
Education
Columbia University in the City of New York 1991 — 1996
Guggenheim Partners November 2011 - Present
MF Global November 2010 - October 2011
Concept Capital March 2009 - November 2010
Stanford Group Company November 2004 - March 2009
Schwab Soundview Capital Markets October 2002 - November 2004
Skills
Equities, Research, Hedge Funds, Financial Modeling, Program Management, Investments, Financial Analysis, Bloomberg, Valuation, Capital Markets
Education
University of Maryland - Robert H. Smith School of Business 2004 — 2007
Master's, Business Administration
University of Maryland College Park 1998 — 2002
Bachelor's, Communication
First Republic Investment Management July 2007 - Present
Schwab Institutional October 2003 - July 2007
Schwab Soundview Capital Markets July 1997 - September 2003
Skills
Equity Trading, Securities, Series 7, Equities, Traders, Trading, Options, Alternative Investments, Proprietary Trading, Hedge Funds, Electronic Trading, Series 63, Portfolio Management, Fixed Income, Financial Markets, Bloomberg, ETFs, Asset Management, Capital Markets
Education
Saint Peter's University 1995 — 1997
BA, Economics
Seton Hall University 1992 — 1994
Neuberger Berman April 2012 - Present
CLSA April 2010 - April 2012
Pali Capital July 2008 - April 2010
Jefferies & Company November 2004 - April 2008
Schwab Soundview Capital Markets January 2000 - November 2004
Schroders 1993 - 2000
Skills
Investments, Securities, Series 63, Portfolio Management
Education
Stanford University Graduate School of Business 1986 — 1988
MBA
Cornell University 1979 — 1983
Bachelor of Arts, American Studies
Phillips Academy, Andover 1976 — 1979
Bank of America November 2013 - Present
Citigroup September 2007 - February 2013
US Senate Federal Credit Union October 2006 - March 2010
Citigroup September 2004 - September 2007
Schwab Soundview Capital Markets August 1996 - December 2003
Credit Suisse First Boston November 1993 - August 1996
Tech Partners April 1991 - November 1993
Friends of Senator Carl Levin April 1990 - November 1990
Skills
Equities, Equity Derivatives, Derivatives, Options, Trading Systems, Electronic Trading, Analysis, Business Intelligence, Data, Financial Risk, Risk Management, Auditing, Management, Programming, Equity Trading, Business Analysis, Financial Markets, Portfolio Management, Investments, Trading, Series 63, Series 7, Capital Markets, Financial Services, Financial Modeling
Education
University of Michigan 1986 — 1990
Bachelor of Science (BS) with Honors, Compter Science
PricewaterhouseCoopers 2006 - Present
Ministry of Foreign Affairs 2003 - 2006
Schwab Soundview Capital Markets 2000 - 2003
Credit Suisse First Boston 1996 - 1999
Skills
Capital Markets, Banking, Finance, Financial Modeling, Due Diligence, Financial Analysis, Valuation, Management Consulting, Corporate Finance, Mergers & Acquisitions, Auditing
Education
University of Maryland College Park
B.Sc., Finance, Accounting
New York University 2006 — 2008
M.S., Real Estate Finance
Morgan Stanley & Co. September 2010 - Present
Citigroup Global Markets, Inc. November 2005 - July 2007
C.E. Unterberg, Towbin January 2005 - November 2005
Schwab Soundview Capital Markets June 2000 - December 2004
Education
Albany Law School of Union University 2007 — 2010
Doctor of Law (JD)
SUNY at Buffalo 1994 — 1998
Bachelor of Science (BS), Finance, General
Remedy Bar Group June 2003 - January 2007
Schwab Soundview Capital Markets April 1999 - December 2003
Datek Online February 1997 - February 1999
W.R. Huff Asset Management June 1994 - January 1997
Skills
New Business Development, Strategic Planning, Social Media, Public Speaking, International Sales, Sales Operations, Sales, Trade Shows, Trading, Marketing Strategy, Contract Negotiation, Digital Marketing, Digital Media, Account Management, Customer Service, Sales Management, IPM, Customer Driven, Customer Satisfaction, Customer-focused, Integrated Pest..., Pesticide, Pesticide Application, Outlook, Rodents, Bed Bugs, Pest Control, Insect, Insecticides, Problem Analysis, Problem Solving, Problem Management, Problem Sensitivity, Business Analysis, ESOP, English, New Business Procurement, New Business Generation
Education
Syracuse University - Martin J. Whitman School of Management 1992 — 1996
Bachelor of Science (BS)
Monsignor Farrell High School 1988 — 1992
TIAA-CREF Trust Co. June 2006 - Present
TIAA-CREF November 2005 - Present
Schwab Soundview Capital Markets 1997 - 2004
Prudential Securities 1996 - 1997
National Broadcasting Company 1995 - 1996
Baring Securities 1994 - 1995
Education
Indiana University - Kelley School of Business 1991 — 1993
MBA, Finance
University of Pennsylvania
M.Arch, Architecture
Yale University
BA, History
RJS Proprietary trading April 2010 - Present
RJS Equity Trading June 2009 - Present
UBS September 2004 - September 2007
UBS Investment Bank 2003 - 2007
Schwab Soundview Capital Markets 1981 - 2004
Schwab Capital Markets 1990 - 2003
Charles Schwab 1980 - 2003
Schwab Capital Markets ( Charles Schwab) 1990 - 2002
Skills
Series 7, Trading, Capital Markets, Equity Trading, Equities, Proprietary Trading, Traders, Series 63, Investments, Options, Hedge Funds, Securities, Trading Systems, Trading Strategies, Investment Banking, Fixed Income, Commodity, Derivatives, Equity Research, FX Options, Electronic Trading, Market Making, Financial Markets, Hedging, Bloomberg, Financial Services, Portfolio Management, Bonds, Alternative Investments, Risk Management, Technical Analysis, Equity Derivatives, Stocks, FINRA, Financial Modeling, ETFs, Series 24, Emerging Markets, Asset Allocation, Asset Management, Investment Strategies, Mutual Funds, Investment Management
Education
Long Island University, Southampton Campus 1970 — 1973
ba, economics
NYFIX Manager Clients supportCharles Schwab and Co.1993 - 2003
Schwab Soundview Capital Markets 1993 - 2003
Education
New York University 1978 — 1981
Binghamton University 1974 — 1976
BA, Math
Morgan Stanley Smith Barney 2007 - Present
Morgan Stanley September 2003 - April 2007
Schwab Soundview Capital Markets February 1987 - October 2001
Skills
Series 7, Series 63, Series 24, Series 66, Equities, Uniform Combined State..., Equity Trading, Securities, ETFs, Hedge Funds, Mutual Funds, Capital Markets, Asset Allocation, Trading Strategies, Trading, Investments, FINRA, Bloomberg, Electronic Trading
Education
University of Maryland College Park 1977 — 1978
State University of New York College at Cortland 1974 — 1976
Recreation, Education
JPMorgan Chase August 2013 - Present
JPMorgan Chase June 2008 - Present
Bear Stearns June 2003 - June 2008
Schwab Soundview Capital Markets August 1999 - June 2003
TD Waterhouse 1992 - 1999
Education
Rutgers University School of Law - Newark 1995 — 1998
JD
Villanova University 1986 — 1990
finance
JMP Securities January 2005 - Present
Soundview Technology January 1998 - December 2004
Schwab Soundview Capital Markets November 2003 - November 2004
Skills
Series 7, Equities, Capital Markets, Hedge Funds, Investments, Series 63, Series 24, Venture Capital, Alternative Investments, Corporate Development
Education
University of California, Santa Barbara 1989 — 1993
Bachelors of Arts, Political Science and Government, minor focus business economics
Tempe High School 1984 — 1987
NASDAQ OMX April 2013 - Present
NYSE December 2001 - December 2012
Schwab Soundview Capital Markets November 1996 - December 2001
Skills
Equity Trading, Electronic Trading, Trading Systems, Options, Equities, Series 7, Trading
Education
Saint Michael's College 1988 — 1992
B.A.
Strava, Inc. April 2012 - Present
San Francisco Tennis Club June 2011 - April 2012
Fitness Anywhere LLC May 2011 - April 2012
Standard Pacific Capital February 2008 - June 2011
JP Morgan 2006 - 2008
American Technology Research 2005 - 2006
SoundView Technology Group 2000 - 2003
Schwab Soundview Capital Markets 2000 - 2003
Skills
Entrepreneurship, Fitness, Inspiring People, Management, Marketing, Product Management, Sales, Social Media, Social Media Marketing, Strategy, Venture Capital, Event Planning, Public Speaking, Leadership, Strategic Partnerships, Social media, Start-ups, Social Networking, Marketing Strategy
Education
University of Delaware 1996 — 2000
BS, Finance
University of Delaware 1996 — 2000
BS, Finance, General
Wedbush Morgan Securities January 2008 - Present
WR Hambrecth 2005 - 2008
Schwab Soundview Capital Markets 2004 - 2005
Bank of America 1999 - 2003
Skills
Series 7, Series 63, Equities, Hedge Funds, Capital Markets, Mutual Funds, Investment Banking, Electronic Trading, Series 24, Securities, Alternative Investments, Equity Trading, Bloomberg, FINRA, Trading Systems, Trading
Education
Fordham University - Graduate School of Business Administration
MBA, Emphasis in Finance
State University of New York at Binghamton
BA, Sociology
Anaplan May 2015 - Present
SS&C Technologies April 2014 - May 2015
Oracle August 2012 - April 2014
Ticonderoga Securities LLC April 2010 - June 2011
First Coverage May 2009 - April 2010
Pacific Crest Securities January 2005 - May 2009
Schwab Soundview Capital Markets June 2004 - December 2004
Salisbury School August 2003 - June 2004
Skills
Economics, Investments, Portfolio Management, Corporate Finance, Equities, Marketing, Bloomberg, Hedge Funds, Equity Research, Accounting, Investment Management, Options, Capital Markets, Financial Analysis, Financial Modeling, Management
Education
College of the Holy Cross 1999 — 2003
BA, Economics; Accounting
Deerfield Academy 1998 — 1999
PG
Noble and Greenough School 1994 — 1998
Potomac Research Group 2014 - Present
Capstone LLC 2013 - 2013
Potomac Research Group 2009 - 2013
Stanford Group Company 2004 - 2009
Schwab Soundview Capital Markets 2002 - 2004
ABN AMRO 2000 - 2002
Putnam Investments 1996 - 2000
Skills
Equities, Series 7, Capital Markets, Macro, Regulatory Analysis, Series 24, Series 65, Institutional Sales, New Business Development, Series 63, Series 6, Technical Analysis, Private Equity, Due Diligence, Asset Management, Financial Modeling, Mutual Funds, Fixed Income, Alternative Investments, Bloomberg, Hedge Funds
Education
University of Notre Dame - Mendoza College of Business 1995 — 1997
MBA, Finance
Boston College 1986 — 1990
BA, History
Noble and Greenough School
SuperTrend September 2007 - June 2011
UBS Securities LLC 2004 - 2007
Schwab Soundview Capital Markets September 1996 - November 2004
Skills
Equities, Series 7, Equity Trading, Trading Systems, Options, Equity Research, Capital Markets, Portfolio Management, Market Making, Trading, Series 63, Hedge Funds, Wealth Management, Market Data, Electronic Trading, Accounting, Process Improvement, Bulletin Boards, Financial Services, Traders, Derivatives, ETFs, Business Strategy, Financial Markets, Investment Management, Investment Strategies, Brokerage, Risk Management, Financial Analysis, Investor Relations, Commodity, Trading Strategies, Proprietary Trading, Financial Modeling, Forecasting, Valuation, Hedging, Due Diligence, Bonds, Equity Derivatives, Asset Management, Technical Analysis, Securities, Asset Allocation, Stocks, Investments, Management, Strategic Planning, Investment Banking, Alternative Investments
Education
Hofstra University
Bachelor of Business Administration (BBA), Finance, General
MKM Partners May 2014 - September 2014
Northwestern Mutual May 2013 - May 2014
MKM Partners April 2010 - November 2013
CIBC/Oppenheimer Holdings & Company October 2006 - April 2010
AURARIAN CAPITAL MANAGEMENT, LLC August 2005 - September 2006
Bear Stearns November 2004 - July 2005
Schwab Soundview Capital Markets July 2003 - July 2004
OTC Trading January 1996 - January 2003
Education
University of Connecticut
Master of Business Administration
University at Albany, SUNY
Bachelor of Business Administration
Conifer Securities February 2008 - December 2009
Montgomery & Co., LLC May 2005 - December 2007
Schwab Soundview Capital Markets January 2001 - December 2004
Epoch Investment Partners 2000 - 2001
Charles Schwab 1996 - 2000
Skills
Capital Markets, Trading, Series 7, Equities, Securities, Series 63, Series 24, Middle Office, Back Office
Education
Pepperdine University 1994 — 1996
MBA
University of California, Los Angeles 1988 — 1992
BA, Business Economics
UBS Financial Svc Inc 2012 - Present
Morgan Stanley Smith Barney 2010 - 2012
Schwab Soundview Capital Markets 1996 - 2004
Princeton Securities 1995 - 1996
Olde Discount 1993 - 1994
Education
Binghamton University 1987 — 1991
Bachelor's degree, Economics
montville hs 1984 — 1987
Performance Improvement Partners, LLC January 2009 - Present
MGC Consulting Company llc September 2008 - Present
Pacific Growth Equities May 2007 - August 2008
Moors & Cabot January 2005 - January 2007
Schwab Soundview Capital Markets January 2001 - November 2004
Merrill Lynch January 1999 - June 2000
Education
University of Colorado Boulder 1996 — 2000
Double Degree Program, Business Administration: Finance Major, Marketing Minor and Bachelor of Arts: Communications Major
Finishline Capital Inc. November 2012 - Present
Rodman & Renshaw May 2011 - July 2012
Hudson Securities April 2009 - May 2011
UBS June 2008 - April 2009
UBS May 2005 - June 2008
Schwab Soundview Capital Markets January 2004 - January 2005
RBC Capital Markets March 2003 - January 2004
CE UNTERBURG Tobin January 2000 - January 2003
Hambrecht & Quist January 1995 - January 2000
Lehman Brothers January 1994 - January 1995
Skills
Equities, Capital Markets, Bloomberg, Series 7, Series 63, Series 24, series55, Prime Brokerage, Securities, Trading, Equity Trading, Traders, Equity Research, Hedge Funds, Options, Electronic Trading, Derivatives, Investment Banking, Risk Management, Trading Strategies, Finance, Financial Risk, Market Making, Fixed Income, FINRA, Financial Markets, Alternative Investments, Portfolio Management, Relationship Management, Trading Systems, Investments, ETFs, Bonds, Asset Management, Equity Derivatives, Stocks, Proprietary Trading, Financial Services, Commodity, IPO, Investment Strategies, Private Equity, Funding
Education
Seton Hall University 1982 — 1986
Bachelor of Science, Finance, Graduated Magna Cum Laude - 3.8 gpa
Seton Hall University 1982 — 1986
Bachelor of Science (BS), Finance
LaunchPoint Corporation March 2014 - July 2014
Donlen Corporation July 2013 - October 2013
Sears Holdings Corporation February 2012 - July 2013
Equable Ascent Financial, LLC October 2011 - January 2012
SCHWAB SOUNDVIEW CAPITAL MARKETS February 2003 - July 2004
ENNIS, KNUPP & ASSOCIATES August 2001 - December 2001
TERRA NOVA TRADING March 2000 - December 2000
SIDLEY & AUSTIN October 1999 - March 2000
Allstate October 1997 - June 1999
Zurich Insurance Company Ltd. June 1997 - September 1997
Skills
Microsoft SQL Server, Databases, ASP.NET, .NET, Oracle, XML, Visual Basic, VB.NET, SSRS, C#, SSIS, IIS, Visio, JavaScript, ASP
Education
Arizona State University
Bachelor's degree, Computer Information Systems
Susquehanna International Group, LLP (SIG) February 2010 - May 2013
Pacific Crest Securities November 2004 - January 2010
Schwab Soundview Capital Markets December 1994 - November 2004
Skills
Institutional Sales, Equities, Series 7, Hedge Funds, Bloomberg, Fixed Income, Capital Markets, Series 63, Trading, Investments, Portfolio Management, Alternative Investments, Equity Research, Valuation, Asset Management, Investment Banking, Financial Modeling, Derivatives, Equity Trading, Financial Markets, Investment Strategies
Education
College of the Holy Cross 1982 — 1986
Bachelor of Arts (B.A.), Economics
OTR Global June 2001 - Present
Schwab Soundview Capital Markets May 1989 - April 2001
Prescott Ball & Turben April 1986 - May 1989
Furman Selz Mager Dietz & Birney September 1983 - April 1986
Education
Boston College 1979 — 1983
Bachelor of Arts (BA), Economics/Political Science