Prudential Securities
Industry: Bank
DescriptionPrudential Securities, also formerly known as Prudential Securities Incorporated, was the financial services arm of the insurer, Prudential Financial. In 2003, Prudential Securities was merged into Wachovia Securities, a division of Wachovia Bank. Headquarters: New York City, New York, United States Founded: 1981 Ceased operations: 2003 Parent organization: Prudential Financial Subsidiaries: Prudential-Bache Securities (Belgium) Inc., Prudential Mutual Fund Management, Inc. Predecessors: Bache & Co., Prudential Securities
Prudential Securities List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at Prudential Securities. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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Prudential Securities Employees
USC Marshall School of Business December 2007 - Present
Chrysalis 2000 - 2007
Prudential Securities 1989 - 2000
Skills
Start-ups, Fundraising, Strategic Planning, Public Speaking, Strategic Partnerships, Budget, Team Building, Entrepreneurship, Management Consulting, Project Management, Non-profits, Business Development, Negotiation, Nonprofits, Community Outreach, Strategy, Teaching, Leadership, Social Entrepreneurship, Leadership Development, Program Management, Business Strategy, Public Relations
Education
University of Pennsylvania - The Wharton School 1984 — 1986
MBA, Finance
Stony Brook University 1976 — 1980
BA, Economics
Queensborough Community College March 2014 - Present
Berkeley College February 2008 - March 2014
Long Island University, CW Post Campus 2005 - 2008
St. John's University 2000 - 2004
Prudential Securities 1996 - 1999
Skills
Educational Outreach, Student Affairs, Educational Consulting, Academic Advising, Higher Education, Higher Education..., Advisement, Enrollment Management, Admissions, Student Development, Critical Thinking, Public Speaking, Student Financial Aid, Retaining Customers, Campus, Academic Administration, Teaching, Student Recruiting, Student Engagement, Career Counseling, Leadership, Adult Education, Resume Writing, Student Leadership, Distance Learning, Student Counseling
Education
Saint John Fisher College 2011 — 2013
Doctor of Education (EdD), Executive Leadership
Saint John's University 2000 — 2003
Master of Science, Education
Saint John's University 1992 — 1996
Bachelor of Science, Marketing
Pacific Life Insurance Company May 2014 - Present
MetLife August 2009 - April 2014
UBS February 2005 - August 2009
Merrill Lynch February 2003 - February 2005
Pioneer Investments 2001 - 2003
Prudential Securities 1995 - 2001
AXA Advisors 1990 - 1995
Skills
Retirement, Retirement Planning, Fixed Annuities, Series 7, Mutual Funds, Sales, 401k, Life Insurance, Series 63, Asset Allocation, Variable Annuities, Long-term Care
Education
Southern Methodist University 1985 — 1989
BA, Economics
All That Ease Podcast October 2013 - Present
AllThatInternet.net August 2006 - Present
Junior League of Poughkeepsie June 2010 - June 2012
Brandrey, Inc. November 2005 - November 2009
Shepherd Hill Appraisals May 2004 - November 2005
GMAC Mortgage April 2001 - May 2004
Grey Direct February 1997 - April 2001
Indotronix International Corporation IIC 1995 - 1997
Prudential Securities 1993 - 1995
Skills
Marketing, Management, Social Media Marketing, Online Advertising, Small Business, Business Strategy, Business Development, Business Coaching, Social Shopping, Advertising, Facebook, Account Management, Training, Recruiting, Sales, Website Development, Social Networking, Direct Marketing, SEM, Marketing Strategy, Team Building, Real Estate, Coaching, Leadership, Online Marketing, Strategy, Public Speaking, Entrepreneurship, Human Resources, Budgets, Email Marketing, Social Media, Lead Generation, Public Relations, Nonprofits, Digital Strategy, Customer Service, Web Marketing, Time Management, E-commerce, Interviews, Networking, Digital Marketing, Start-ups
Education
State University of New York at New Paltz 1989 — 1993
BS, Communications
Hicksville High School 1987 — 1989
Camp Hill Junior Senior High School 1985 — 1989
Freedom Capital Management (FCM) January 2008 - Present
Royal Alliance Associates January 2008 - Present
Royal Alliance Associates Inc. 2003 - 2008
UBS 2000 - 2003
Prudential Securities 1997 - 2000
J.L. Danton & Associates 1995 - 1997
Education
Siena College 1991 — 1995
Bachelor of Arts (B.A.), Sociology
Woolbright Development, Inc. - Commercial Real Estate Investments 2014 - Present
Woolbright Development 2009 - 2013
Sterling Companies 1994 - 2009
Prudential Securities 1993 - 1995
Skills
Real Estate, Real Estate Development, Leases, Disposition, Real Estate Transactions, Location Intelligence, Shopping Centers, Real Estate Economics, Corporate Real Estate, Investment Properties, Land Acquisition, Construction, Landlords, Entitlements, Brokerage, Commercial Real Estate, Property Management, Lease Negotiations, Residential Homes, Construction Management, Lease Administration, Tenant, Tenant Representation, Acquisitions, Dispositions
Education
State University of New York College at Cortland 1989 — 1993
Bachelor of Arts (B.A.), Economics and Management Science
The Mary Luis Academy
UBS Wealth Management January 2013 - Present
Mitt Romney for President September 2012 - December 2012
2012 Republican National Convention February 2012 - September 2012
Newt 2012 December 2011 - February 2012
Pam Bondi for Attorney General May 2010 - August 2010
SMU Athletic Department May 2009 - August 2009
Wachovia Securities May 2008 - August 2008
Camp Rockmont May 2007 - August 2007
Prudential Securities May 2006 - August 2006
Greiner's Fine Men's Clothing 2003 - 2006
Education
Southern Methodist University 2006 — 2010
Bachelor of the Arts, Corporate Communications & Public Affairs
Berkeley Preparatory School
Royal Bank of Scotland January 2015 - Present
RBS December 2009 - Present
MBIA Asset Management September 2005 - October 2009
Calyon February 2002 - September 2005
Ernst & Young February 2001 - January 2002
Prudential Securities January 1995 - January 2001
Skills
Securitization, Funding, Cash Management, Conduit, Commercial Paper, Rating Agency Relations, Mortgage Servicing, ABS, Capital Markets, Cash Flow, Credit, Finance, Financial Analysis, Financial Reporting, Financial Risk, Middle Office, Structured Products, Swaps, Trading, Fixed Income
Education
St. John's University, The Peter J. Tobin College of Business 1989 — 1995
BS, Finance
Tottenville HS 1986 — 1989
Finance, General
Wells Fargo Advisors September 2012 - Present
Morgan Stanley Smith Barney April 2003 - August 2012
Prudential Securities January 1997 - April 2003
Dean Witter September 1992 - January 1997
Skills
Investments, CRM, Alternative Investments, Retirement Planning, Mutual Funds, Asset Allocation, Financial Analysis
Education
University of Houston 1980 — 1982
MBA, Finance
Texas A&M University 1975 — 1979
Bachelor of Science
Monsignor Kelley High
Graduate
Kanaly Trust, LTA June 2012 - January 2015
UBS Financial Services, Inc. August 2011 - June 2012
Graystone Consulting (a business of Morgan Stanley Smith Barney) May 2007 - August 2011
Davis Hamilton Jackson & Associates, L.P. April 2003 - May 2007
Smith Barney August 2000 - February 2003
Smith Barney - Consulting Group August 1998 - August 2000
Prudential Securities August 1996 - July 1998
Agricultural and Natural Resources Policy Internship Program August 1993 - December 1993
Skills
Wealth Management..., Investment Management, Asset Allocation, Financial Services, Investments, Wealth Management, Asset Management, Portfolio Management, Marketing, Strategic Financial..., Alternative Investments, High Net Worth..., Management, Project Management, Budgeting, Public Relations, Equities, Financial Analysis, Asset Managment, Financial Planning, Finance, Event Management, Event Planning
Education
Texas A&M University 1994 — 1996
M.S., Agricultural Economics
Texas A&M University 1989 — 1994
B.S., Agricultural Economics
Kingwood High School 1985 — 1989
State Street May 2011 - Present
State Street September 2006 - May 2011
E*TRADE Financial May 1997 - January 2006
Prudential Securities June 1996 - May 1997
Skills
Financial Analysis, Financial Reporting, Accounting, Bloomberg, Mutual Funds, Financial Modeling, Fund Accounting, Equities, Fixed Income, Account Reconciliation, Investments, Hedge Funds, Risk Management, Derivatives, Financial Accounting, Financial Services, Securities
Education
Sierra College 1988 — 1990
Associate's degree, General Studies
Center High School 1986 — 1988
High School Diploma, General Studies
Warrington Asset Management, LLC August 2015 - Present
Tarpon Trading, LLC July 2013 - July 2015
City Fund Management Ltd. July 2012 - August 2013
AlphaMetrix, LLC August 2010 - June 2012
HedgeCo Securities July 2008 - August 2010
Kenmar Group January 2005 - July 2008
Illington Partners January 2004 - January 2005
Prudential Financial November 1998 - December 2003
Prudential Financial January 1996 - November 1998
Prudential Securities July 1990 - December 1995
Skills
Hedge Funds, Alternative Investments, Managed Futures, Asset Management, Commodity Markets, Funding, Commodity, Trading, Investments, Fund Of Funds, Institutional Sales, Investment Strategies, Global Macro, Investor Relations, Capital, Fund of Hedge Funds, Capital Introduction, Sales
Education
St. John's University, The Peter J. Tobin College of Business 1987 — 1990
B.S. Finance, Finance
Wells Fargo Advisors April 2012 - Present
UBS Financial Services Inc July 2005 - April 2012
Smith Barney October 2003 - June 2005
Prudential Securities March 1985 - September 2001
Skills
Investments, Retirement Planning, Mutual Funds, Equities, Fixed Income, Capital Markets, Risk Management, Options, Estate Strategies
Education
Southern Connecticut State University 1982 — 1985
BS, Business Economics
Acorn Home Care Services, Inc. 2011 - Present
SIMtone 2006 - 2011
Telic Communications 2002 - 2006
Cybertel 2000 - 2002
Skila 1998 - 2000
Nikko Securities 1996 - 1998
Prudential Securities 1994 - 1996
Dole Foods 1983 - 1988
Skills
Investor Relations, Capital Raising, Cloud Computing, VoIP, Start-ups, Strategy, Private Equity, Business Development, IPO, Investment Banking, Telecommunications, Business Strategy, Strategic Planning, Equities, Acquisitions, SaaS, Finance, Turn Around Management, Corporate Development, Product Management, Angel Investing, Venture Capital, Strategic Partnerships, IP, Mergers & Acquisitions, Executive Management, Broadband, Management, Entrepreneurship, Healthcare Information..., Due Diligence, Investments, CRM, Leadership
Education
Stanford University Graduate School of Business 1981 — 1983
MBA
Stanford University 1981 — 1982
MA
University of California, Berkeley 1979 — 1980
MS
University of Maryland 1976 — 1979
BS
Private Clients October 2014 - Present
Jennifer's Cooking Class January 2009 - August 2014
NCGC of LI, Inc 2008 - 2014
Conde Nast 1990 - 1994
Prudential Securities 1982 - 1990
Skills
QuickBooks, Bookkeeping, Office Administration, Database Administration, Gatekeeper, Travel Arrangements, Executive Calendar..., Proofreading, Coordinating Special..., Microsoft Word, Contact Management, Multi Tasking, Microsoft Excel, Marketing, Marketing Strategy, Management, Investments, Editing, Event Planning, Social Media
Education
Thunderbird School of Global Management 1981 — 1982
Master of Business Administration (MBA), Finance, General
Skidmore College 1973 — 1977
B. S. Business, Finance
A Dominant Global Dutch Clearing entity, a leader in exchange traded derivatives and securities January 2012 - Present
Calvary Cross and Associates August 2010 - July 2013
DeJohn Advisory Team January 2010 - July 2013
CCM Financial Services, an Introducing Broker January 2010 - December 2011
MF Global Inc. March 2008 - March 2010
RGCC 1993 - 2010
Smith Barney January 2000 - May 2006
Citigroup/Smith Barney January 2000 - May 2006
Prudential Securities 1988 - 2000
Barnes &Co 1985 - 1990
Skills
Securities, Equities, Options, Investments, Commodity, FINRA, Wealth Management, Trading, Fixed Income, IRAs, Bonds, Technical Analysis, Investment Advisory, FX trading, Guaranteed Lifetime..., Qualified Retirement..., Finance, Alternative Investments, Sales Process, Retirement Plan..., Hedge Funds, ETFs, Series 63, Trading Systems, Retirement Planning, Organizational..., Corporate Communications, Charities, Bloomberg, Insurance, Life Insurance, Investment Strategies, Biblical Studies, Licensed to Sell..., IRA Rollover and 401k..., Golf Enthusiast, Charitable Giving, Clearing, Retirement Planning..., Identity Theft..., CTA Service and..., Clearing Services Expert, Skeet and Sporting..., Rugby Enthusiast, Commodities, Family Practice, Golf, Weight Training, Financial Services, Management
Education
Southern Illinois University, Carbondale 1978 — 1983
BS Political Science and Speech Communications, History
Saint Viator High School 1974 — 1978
High School Diploma, Business/History focus
Securities Training Corp
Series 3,7, 63
Bank of America Merrill Lynch June 2011 - Present
Sterne Agee October 2010 - June 2011
Ticonderoga Securities LLC May 2010 - August 2010
UBS Investment Bank May 1997 - April 2010
PaineWebber, Inc. May 1997 - November 2000
PaineWebber (now UBS) 1997 - 2000
Prudential Securities February 1987 - May 1997
Skills
FINRA, Series 63, Equity Research, Securities, Capital Markets, Series 7, Equities, Series 24, Hedge Funds, Investment Banking, Bloomberg, Fixed Income, Risk Management, Derivatives
Education
St. Francis College 1978 — 1981
B.S, Business Administration
Davis Realtors November 2012 - Present
Kaplan Test Prep and Admissions June 2011 - July 2012
Kaplan University January 2009 - August 2011
Ameriprise Financial January 2007 - January 2008
Noso Inc December 2004 - November 2006
Merrill Lynch April 2002 - January 2005
Prudential Securities August 1999 - April 2002
Morgan Stanley April 1993 - August 1999
Skills
Business Development, Marketing Strategy, Management, Marketing, Training, Sales, Leadership, Leadership Development, Adult Education, Public Speaking, Staff Development, Higher Education, Coaching, Customer Service, Salesforce.com, Recruiting, Selling, Team Building, Strategic Planning, Microsoft Office, Sales Management, Business Planning, Strategy
Education
The College of New Jersey 1982 — 1985
BA, Liberal Arts - Communication
Temple University - Fox School of Business and Management 1980 — 1982
Communication and Media Studies
East Brunswick High School 1977 — 1980
MassMutual Financial Group December 2013 - Present
MassMutual Financial Group October 2011 - December 2013
MassMutual Financial Group, US Insurance Group March 2010 - October 2011
MassMutual Financial Group, US Insurance Group January 2008 - March 2010
MassMutual Financial Group February 2006 - January 2008
MassMutual Financial Group December 2003 - January 2006
Fleet Capital Corporation December 2002 - December 2003
Solomon Smith Barney October 2000 - December 2002
Prudential Securities November 1999 - October 2000
Skills
Retirement, Mutual Funds, Strategic Financial..., Series 63, Fixed Annuities, Resource Management, Estate Planning, Financial Advisory, Portfolio Management, Equities, Variable Annuities, Relationship Management, Program Management, Retirement Planning, Finance, Management, 401k, Sales, Insurance, Business Planning, Series 7
Education
Smith College 1994 — 1998
Bachelor of Arts (BA)
The Academy of St Joseph 1990 — 1994
Millennium Partners September 2013 - Present
Nomura Securities August 2009 - September 2013
Merrill Lynch May 2008 - August 2009
Merrill Lynch February 2007 - May 2008
Cantor Fitzgerald July 2003 - February 2007
Lehman Brothers March 2001 - July 2003
PRUDENTIAL SECURITIES July 1999 - March 2001
JPMorgan Chase 1998 - 1998
Skills
Fixed Income, Equities, Finance, Investments, Banking, Trading, Cash Management, Prime Brokerage, Funding, Settlement, Loans
Education
Temple University - Fox School of Business and Management 1995 — 1999
BBA, International Business and Marketing
Wells Fargo Advisors, LLC December 1998 - Present
Prudential Securities January 1994 - December 1998
Skills
retirement planning, investment planning, income investing, tax-efficient strategies, Risk Management, Domestic Partner..., education planning, Insurance, individual retirement..., Qualified Retirement..., 401k Rollovers, Investments, Retirement Planning
Education
University of Washington 1987 — 1989
Master of Business Administration (MBA), Finance, General
University of Minnesota-Twin Cities 1979 — 1982
Bachelor's degree, Japanese
St. Olaf College 1974 — 1978
Bachelor's degree, Philosophy
Ruby Ribbon, Inc. November 2014 - Present
Strava, Inc. October 2013 - October 2014
Revision3 October 2008 - October 2012
Yahoo January 2008 - July 2008
Yahoo!, Inc. July 2002 - January 2008
Prudential Securities September 1997 - March 2000
Skills
Start-ups, Corporate Development, Mergers, Business Development, Strategic Planning, Monetization, Analytics, Digital Media, Online Advertising, E-commerce, Online Video Strategy, Finance, Accounting, Forecasting, Mergers & Acquisitions, Strategic Partnerships
Education
San Francisco Cooking School
Culinary Arts Program
Dartmouth College - The Tuck School of Business at Dartmouth
MBA, General Management
Stanford University
AB, International Relations
Conversations Among Masters 2010 - Present
Wisdom Coach, LLC 1996 - Present
International Coach Federation 1996 - 2013
Coach U 1996 - 2008
International Coach Federation December 2005 - December 2007
Prudential Securities 1993 - 1996
Sysco Foodservice of South Florida 1985 - 1993
Leadership Miami 1989 - 1991
Leadership Miami 1989 - 1991
Leadership Metro North 1985 - 1986
Skills
Executive Coaching, Leadership Development, Conflict Resolution, Teaching, Personal Development, Coaching, Career Development, Non-profits, Change Management, Emotional Intelligence, Stress Management, Public Speaking, Marketing, Organizational..., Workshop Facilitation, Nonprofits
Education
Southern Illinois University, Carbondale 1980 — 1984
BS, Hospitality Administration/Management
Newton Consulting, LLC December 2009 - Present
Univar June 2000 - Present
Joseph Prossi Consulting, Inc 2002 - 2007
Perot Systems 2001 - 2002
Solutions Consulting, Inc (Aquired by Perot Systems) January 1998 - 2001
Milestone Technologies, Inc August 1995 - December 1998
Prudential Securities November 1989 - July 1995
Skills
Business Analysis, Application Development, ERP, Program Management, Integration, Project Management, IT Strategy, Software Development, Requirements Analysis, Business Intelligence, Business Process, Process Improvement, SharePoint, SDLC, PMO
Education
St. Joseph's College 1983 — 1991
B.S., Business Administration
Grumman Data Systems Institute 1989 — 1989
Technical Degree, Computer Programming
Dale Carnegie Training 1984 — 1984
Certificate in Effective Speaking and Human Relations
Siemens Energy, Inc June 2010 - Present
HomeRite Realty & Mortgage, Inc. June 2002 - December 2010
First Mortage America March 2001 - August 2002
Gateway Funding Group, Inc. April 1998 - March 2001
A.G. Edwards & Sons, Inc. May 1997 - April 1998
Prudential Securities September 1995 - May 1997
Skills
Management, Electricians, Turbines, Program Management, Wind Turbines, Leadership, Analysis, Troubleshooting, Wind, Training, Budgets, Power Generation, Renewable Energy, Forecasting, Inspection, Manufacturing, Project Planning, Construction, Sales, Sales Operations, Project Management, Scheduling, Multi-Site Operations, Client Relations, Marketing, High Impact..., Presentations, Process Improvement, Electrical Safety, Advanced Rescue, Six Sigma, Energy Markets, Wind Energy, Government Energy..., Team Building, Team Leadership, Market Research, Project Scope..., Aviation, Blueprint Reading, Data Analysis, Resource Management, New Business Development, Priority Management, Strategic Planning, OSHA 10-Hour, Interpersonal Skills, Communication, Maintenance, Electrical Repairs
Education
Villanova University 2012 — 2012
Certified Six Sigma Black Belt
Bismarck State College 2010 — 2012
BS, Energy Management
Texas State Technical College 2009 — 2010
AAS, Wind Energy & Turbine Technology
CertTest Training Center 2009 — 2009
Certificate, Project Management
Project Management Institute 2009 — 2009
Certification, Project Management Institute
Villanova University 2009 — 2009
Certificate, Six Sigma Green Belt Certification
Tradewinds Flight School 2004 — 2004
Private Pilot, Aviation
Vermont Technical College 1986 — 1989
AAS, Electrical Engineering
JP Morgan Securities July 2005 - Present
Prudential Securities 2000 - 2005
PaineWebber Inc April 1990 - August 2000
EF Hutton October 1986 - April 1990
Skills
Portfolio Management, Weallth Management, Asset Management, Investments, Reirement and Education..., Series 7, Series 63, Series 65
Education
Texas A&M University 1980 — 1984
Business Management
The University of Texas at Austin 1972 — 1976
Radio Television and Film
Regeneron Pharmaceuticals, Inc. January 2015 - Present
Pinstripe & Ochre House January 2011 - January 2014
Starbucks Coffee Company January 2008 - December 2010
CRI April 2000 - November 2007
Prudential Securities 1998 - 2000
Skills
Talent Acquisition, Recruiting, Sourcing, Leadership, Applicant Tracking..., Management, College Recruiting, Onboarding, Talent Management, Internet Recruiting, Technical Recruiting, Employer Branding, Human Resources, RPO, Interviews, Workforce Planning, Employee Relations, Executive Search, Employee Engagement, Succession Planning, Hiring, Leadership Development, Training
Education
Stanford University Graduate School of Business 2014 — 2014
Senior Executive Program, Global Leadership
University of Puget Sound 1988 — 1992
BA, Communications, Media Studies
Outlaw Realty September 2013 - Present
Private Label Realty of Tenura Holdings January 2011 - August 2013
National Farm Workers Service Center December 2004 - April 2008
Poss Homes, Inc. May 2001 - November 2004
CIBC June 1993 - May 1995
Prudential Securities August 1989 - May 1993
Skills
Real Estate, Contract Negotiation, Negotiation, Investments, Residential Homes, Finance, Project Management, Customer Service, Investment Properties, Selling, Buyers, Sales, Real Estate Economics, Marketing, Real Estate Transactions, New Homes, Nonprofits, Condos, Sellers, Single Family Homes, Training, Relocation, Construction, Referrals, Real Estate Development, First Time Home Buyers, Investors, Entrepreneurship, Seller Representation, Buyer Representation
Education
Stanford University Graduate School of Business 1995 — 1997
MBA, Business/Commerce, General
Smith College 1985 — 1989
B.A., English Literature
JHS Capital Advisors, LLC September 2009 - Present
Colonial Brokerage July 2002 - September 2009
Prudential Securities March 1997 - July 2002
Skills
Series 7, Series 63, Series 65, Airline Transport Pilot..., Life, Health and..., Wealth Management, Portfolio Management, Retirement Planning, Estate Planning, Securities, Investments, Mutual Funds, Insurance, Strategic Financial..., FINRA, Financial Services, Finance, Retirement
Education
University of South Florida 2000 — 2002
Bachelor's degree
St. Petersburg College 1987 — 2000
Professional Pilot Program, Aviation, National Honor Society
Sparks Management Inc. March 2014 - Present
Prudential Financial July 2000 - December 2010
Prudential Securities January 1997 - July 2000
Prudential Securities December 1992 - January 1997
Barnett Bank October 1990 - May 1992
Paine Webber May 1987 - May 1990
SPGA Group January 1985 - May 1987
Griswold, Heckel & Kelly January 1984 - January 1985
Skills
Strategic Planning, Project Management, Project Planning, Plan Check, Space planning, Facilities Management, Interior Design, Site Surveys, Corporate Real Estate, Construction Management, Renovation, Asset Management, Furniture, Contract Management, Budgets, Vendor Management, Real Estate, Management, Contract Negotiation, Construction, Surveying, Submittals
Education
Syracuse University 1978 — 1983
Bachelor of Fine Arts (BFA), Interior Design
Carlson Advisors, LLC October 2003 - Present
Robert W. Baird & Co. June 1997 - September 2003
Prudential Securities June 1996 - June 1997
GE Capital August 1987 - June 1995
Skills
Estate Planning, Financial Analysis, Wealth Management, Retirement Planning, Financial Reporting, Investments, Investment Advisory, Strategic Financial..., Series 7, Asset Allocation, Tax, Mutual Funds
Education
Columbia University 1992 — 1994
MBA, Business Administration
SMU 1983 — 1987
BBA - Finance, BA Economics, Finance, Economics
Creative Printing & Publishing 1997 - Present
Prudential Financial June 1985 - January 2007
Prudential Securities March 1985 - March 2000
Skills
Marketing, Direct Mail, Print, Advertising, Direct Marketing, Social Media Marketing, Marketing Strategy, Graphic Design, Web Design, Marketing Communications, Online Advertising, Trade Shows, Email Marketing, Digital Marketing, Brand Development, Account Management, Public Relations, Social Networking, Corporate Branding, Creative Direction, Adobe Creative Suite, InDesign, SEO, Newsletters, Digital Printing, Strategic Planning, Online Marketing, Mobile Marketing, Integrated Marketing, Social Media, WordPress, Web Marketing, Copywriting, Small Business, Lead Generation, E-commerce, Facebook, Google Analytics, Entrepreneurship, Event Management, Blogging, SEM, B2B, Website Development
Education
Instituto Tecnológico y de Estudios Superiores de Monterrey / ITESM 1979 — 1980
Economics, International Economics
UWEC 1976 — 1980
BBA, Economics
The Hudson Valley Financial Group - Wells Fargo Advisors Financial Network May 2013 - Present
Morgan Stanley Smith Barney 2003 - May 2013
Prudential Securities 1997 - 2003
Skills
Series 63, Portfolio Management, Series 65, Series 7, Financial Advisory, Wealth Management, Mutual Funds, Financial Services, Investments, Asset Allocation, Strategic Financial..., Fixed Income, Retirement Planning, Alternative Investments, Wealth, Investment Advisory, Finance, IRAs, Investment Strategies, Separately Managed..., Management, Retirement, Uniform Combined State..., Fixed Annuities, Asset Management, Estate Planning, 401k, Wealth Management..., Equities, Securities, FINRA, ETFs, Insurance
Education
State University of New York at New Paltz 1988 — 1990
Bachelors of Science, Finance
State University of New York at New Paltz 1988 — 1990
BS, Finance
Harper Financial Consulting September 2009 - Present
Morgan Stanley Smith Barney June 2009 - September 2009
Smith Barney January 1996 - June 2009
Overland Express Mutual Funds 1994 - 1996
Hyperion Capital 1992 - 1994
Prudential Securities 1980 - 1991
EF Hutton 1975 - 1980
Paine Webber 1972 - 1975
Education
Southern Methodist University
Business & Marketing
-- June 2007 - Present
MUFJ Securities (USA), Inc. (ACG Resources, LLC) June 2007 - August 2010
Spherion, Inc. January 2004 - February 2007
Robert Half International January 2002 - June 2005
Prudential Securities April 1998 - June 2001
Federal Reserve Bank of NY April 1992 - April 1998
Deer Park Spring Water, Inc. October 1990 - March 1992
Drexel Burnham Lambert Inc. January 1986 - June 1990
Skills
MS Office Suite, Excel, including..., Oracle R12 and 11i with..., Navision, MAS 90, MAS 500, SAP R/3, Broadridge..., Great Plains Dynamics, SQL, MSA, Sarbanes-Oxley Testing, P&L Statements..., Fixed Assets, Month-End/Year-End Close, Audit Schedules, G/L..., Financial Analysis, Commissions..., Microsoft Excel, Microsoft Office, Account Reconciliation, Great Plains Software, Auditing, Mas 90, Financial Statements, Payroll, Internal Controls, Accounting
Education
Saint John's University - Peter J. Tobin College of Business
BS, Accounting
_New York University School of Continuing Education, New York Institute of Finance
__Monsignor Farrell High School
Ballard & Littlefield LLP April 2009 - Present
UBS April 2002 - April 2009
UBS Financial Services April 2002 - April 2009
Munsch Hardt Kopf & Harr, P.C. April 2000 - April 2002
Prudential Securities 1993 - 2000
Skills
Arbitration, Litigation, Mediation, Securities Regulation, Securities, Corporate Governance, Commercial Litigation, Licensing, Due Diligence, Legal Research, Legal Writing, FINRA, Securities Litigation, Intellectual Property, Trade Secrets, Civil Litigation, Dispute Resolution, Employment Law, Privacy Law, Cross-border..., Joint Ventures
Education
Southern Methodist University Dedman School of Law 1983 — 1986
Juris Doctor, Law
Oklahoma State University, Oklahoma City January 2008 - Present
Mission Hospice April 2006 - October 2007
Preferred Hospice, Oklahoma City August 2003 - October 2005
City of Oklahoma City September 2001 - July 2003
America Online November 2000 - August 2001
Prudential Securities September 1999 - September 2000
United States Air Force December 1979 - November 1999
Skills
Career Counseling, Interviews, Staff Development, Leadership, Psychotherapy, Training, Mental Health, Public Speaking, Resume Writing, Case Management
Education
Southwestern Baptist Theological Seminary 1971 — 1975
Masters, Divinity
Southwestern Baptist Theological Seminary 1971 — 1975
Masters, Religious Education
University of Central Oklahoma 1967 — 1971
Bachelors, Psychology
NYC Health and Hospitals Corporation January 2004 - Present
NYC Housing Authority September 1998 - December 2003
Prudential Securities 1997 - 1998
W R Lazard & Company March 1984 - September 1997
Skills
Budgets, Strategic Planning, Nonprofits, Public Speaking, Team Building, Hospitals, Community Outreach, Workforce Planning, Program Management, Operations Management, Non-profits, Event Management, Fundraising, Customer Service, Event Planning, Program Evaluation, Microsoft Office, Program Development, Training, Healthcare Information..., Leadership Development, Urgent Care, Healthcare, Policy, Public Relations, Management, Leadership, Organizational..., Grant Writing, Government, Contract Negotiation, Community Development, Proposal Writing, Coaching, Workshop Facilitation, Staff Development
Education
South Carolina State University 1960 — 1964
Bachelor of Science (B.S.), Civil Engineering Technology
Empire Wealth Advisors October 2009 - Present
Examiner.com May 2009 - May 2011
Chamber of Commerce of the Palm Beaches 2009 - 2010
Sun King Financial Corp 2003 - 2009
Hold Brothers Online Trading 2000 - 2001
BLM Investment Securities 1996 - 2000
Prudential Securities 1991 - 1993
Skills
Investments, Retirement Planning, Disability Insurance, Health Insurance, Long-term Care, Options, Life Insurance, Insurance, Fixed Annuities
Education
University of Michigan - Stephen M. Ross School of Business 1993 — 1995
MBA, Finance, Economics
State University of New York College at Oneonta 1984 — 1989
BS, Economics
SunTrust Bank 2003 - September 2015
SunTrust Bank, Inc 2001 - 2003
SunTrust Bank 1999 - 2001
Prudential Securities 1997 - 1998
Skills
Portfolio Management, Investments, Asset Managment, Wealth Management, Asset Allocation, Mutual Funds, Investment Management, Equities, Retirement Planning, Fixed Income, Series 7, Financial Services, Asset Management, Insurance, Banking, Wealth Management..., Investment Advisory, Finance, Investment Strategies, Securities, Commercial Banking
Education
Syracuse University 1991 — 1996
Bachelor of Arts (BA)
Kimball Union Academy
COUNTY OF SPOTSYLVANIA June 2015 - Present
Spotsylvania County - NTS Inc June 2014 - June 2015
Constellation Energy January 2009 - May 2014
GCI January 2007 - December 2007
Wachovia Securities January 2006 - December 2006
Wachovia Securities January 2004 - December 2005
Prudential Securities January 2002 - July 2003
Prudential Securities January 1995 - December 2002
Skills
Financial Analysis, Financial Modeling, Finance, Forecasting, Mergers & Acquisitions, Financial Reporting, Management, Analysis, Financial Services, Due Diligence, Strategic Financial..., Strategy, Budgets, Managerial Finance, M&A experience, Corporate Finance, Strategic Planning, Leadership, Change Management, Executive Management, Acquisition Integration, Access
Education
State University of New York College at Brockport 1984 — 1988
BS, International Business and Economics
33rd & Lex Athletic Wear September 2011 - Present
Keller Williams R.E. May 2009 - May 2011
Prudential Securities May 1989 - March 1997
Skills
Sales, Marketing, Customer Service, Business Development, Retail, Social Media, Social Media Marketing, New Business Development, Entrepreneurship, Start-ups, Advertising, Small Business, Social Networking
Education
Skidmore College
Bachelor of Science (BS)
Capital Fiduciary Advisors, LLC October 2006 - Present
Wealth & Tax Advisory Services (WTAS), div of HSBC September 2003 - October 2006
Prudential Securities June 1996 - August 2003
Skills
Financial Planning, Investment Advisory, Investments, Financial Advisory, Management, Wealth Management, Portfolio Management, Investment Strategies, Financial Services, Series 7, Financial Modeling, Risk Management, Financial Analysis, Asset Management
Education
Shepherd University 1984 — 1988
BHS
RE/MAX February 2013 - Present
CEG Consulting 2011 - Present
SignalPoint Asset Management, LLC June 2010 - April 2011
Robert W. Baird & Co. January 2009 - January 2010
A.G. Edwards (acquired by Wachovia Securities) April 2005 - January 2009
Quick & Reilly (acquired by Bank of America) July 2003 - October 2004
Morgan Stanley Smith Barney March 2001 - July 2003
Prudential Securities July 1991 - March 2001
Skills
Project Management, Recruiting, Business Development, Change Management, Training, Profit Maximization, Building Relationships, Customer Service, Goal Setting, Performance Improvement, Client Development, Retention Strategies, Revenue Enhancement, Fundraising, Event Management, Strategic Planning, Sales & Marketing..., Team Building, Management, Sales, Investment Properties
Education
Shippensburg University of Pennsylvania
Bachelor of Arts (B.A.), Political Science and Government
jrc Consulting Group April 2015 - Present
Fundraising Alliance LLC May 2014 - Present
National Addiction Institute November 2014 - April 2015
Aid in Recovery May 2014 - November 2014
Allergy Solutions LLC November 2013 - May 2014
Allstate Financial August 2012 - November 2013
Independent Financial Services Consultant September 2011 - November 2012
Morgan Keegan Inc May 2003 - September 2011
Salomon Smith Barney January 2001 - May 2003
Prudential Securities December 1997 - January 2001
Skills
Banking, Management, Portfolio Management, Insurance, Medical Sales, Business Development, CRM, Finance, Organizational..., Sales, Sales Management, Team Leadership, Public Speaking, Leadership, Training, Customer Service, Community Outreach, Nonprofits
Education
Syracuse University 1989 — 1993
bachelor of science, Anthropology
Syracuse University 1989 — 1993
Bachelor of Science; A.A.M.S, Anthropology
PayPal 2009 - 2014
PayPal 2007 - 2009
PayPal 2004 - 2007
Morgan Stanley Capital International - Barra November 2002 - December 2004
Prudential Securities 2001 - 2002
Plumtree Software (acquired by bea systems in 2005) 2000 - January 2001
Cisco Systems December 1999 - June 2000
Skills
Cross-functional Team..., Risk, Analytics, Product Strategy, Product Management, Operations Management, Strategy, Financial Risk, Risk Management, Management, Marketing Strategy, Financial Modeling, E-commerce, Strategic Partnerships, CRM, Start-ups, Business Strategy, Competitive Analysis, Project Management, Leadership, Marketing, Payments, User Experience, Product Marketing, Program Management, Business Development, Agile Methodologies, Financial Services, Mobile Payments, Analysis, Enterprise Software, Business Intelligence, Data Analysis, Professional Services, Consulting, Entrepreneurship, Vendor Management, Strategic Planning, Go-to-market Strategy, Finance, Process Improvement, Segmentation, Customer Experience, SQL, Market Research, Sales, Integration, Web Analytics, Team Leadership
Education
Stanford University
BA, International Relations
Deutsche Bank October 2015 - Present
Broadridge Financial Solutions, Inc September 2013 - June 2015
Morgan Stanley & Co. March 2004 - August 2013
Bear Stearns January 2002 - May 2004
Prudential Securities November 1997 - March 2002
Skills
Corporate Actions, Portfolio Management, Securities, Hedge Funds, Equities, Tax Reporting, Capital Markets, Alternative Investments, Prime Brokerage, Strategy, Securities Lending, Investments, Middle Office, Analysis, Investment Banking, Risk Management, Management, Financial Services, Mutual Funds, Financial Analysis, Banking
Education
State University of New York at Stony Brook 1978 — 1981
BA, Economics
Dave Perry-Miller & Assoc. division of Ebby Halliday.. DFW January 2004 - Present
PASS-Professional American Security Systems August 1996 - August 2002
Prudential Securities July 1986 - August 1996
PaineWebber October 1983 - July 1986
Rauscher Pierce January 1981 - September 1983
Mutual of New York September 1974 - December 1980
Rauscher Pierce August 1967 - July 1974
Skills
Single Family Homes, Real Estate, Sellers, Sales, Residential Homes, Relocation, ABR, Investments, First Time Home Buyers, Buyer Representation, Portfolio Management, New Home Sales, Listings, Investment Properties, Townhomes, Luxury
Education
Southern Methodist University - Cox School of Business 1964 — 1974
BS MS,, BS Finance 69..MS Economics 74
Southern Methodist Universtiy 1964 — 1969
BS, Finance, General
NetWorth Services, Inc. January 1997 - Present
UBS Paine Webber February 1996 - February 2000
Prudential Securities March 1992 - February 1996
Skills
Executive Management, Mergers, New Business Development, Contract Negotiation, Management, Risk Management, Auditing, Financial Analysis, Social Media Marketing, Negotiation, Analysis, Financial Services, Marketing Strategy, Mergers & Acquisitions, Tax, Securities, Investments, SaaS, Start-ups, Strategic Planning, Finance, Budgets, Sales, Business Planning, Strategy, Management Consulting, Due Diligence, Portfolio Management, Small Business, Business Development, Entrepreneurship, Business Strategy, Leadership, Strategic Financial..., Data Analysis, Accounting, Private Equity, Venture Capital, Asset Management, Corporate Finance, Alternative Investments, Strategic Partnerships, Cloud Computing, Financial Modeling, Corporate Development, Series 7, Investor Relations, Valuation, Restructuring, Investment Advisory
Education
Temple University
Bachelors of Science, Business
NASHVILLE NISSAN / AUTOMOTIVE MANAGEMENT SERVICES, INC March 2012 - Present
EIH GLOBAL, LLC November 2009 - March 2012
ALEXANDER AUTOMOTIVE January 2001 - November 2009
PRUDENTIAL SECURITIES May 1993 - January 2001
Skills
Cross-functional Team..., Strategy, Marketing Strategy, Marketing, Business Strategy, Management, Customer Satisfaction, Negotiation, Sales, E-commerce, Budgets, Project Management
Education
Tennessee Technological University - College of Business Administration 1987 — 1993
Bachelor of Science, Finance
Steward Partners Global Advisory- Raymond James Financial Services June 2014 - Present
Morgan Stanley Wealth Management 1999 - 2014
Prudential Securities 1987 - 1999
Skills
Series 3, Series 7, Series 63, Series 65, Financial Analysis, Wealth Management, Bonds, Stocks, Manage Client..., Family Office Advisory, 401k Rollovers, Investment Strategies, Estate Planning, Retirement Planning
Education
Fairleigh Dickinson University-Florham Campus 1986 — 1988
Master of Business Administration (MBA), Finance, General
State University of New York Maritime College 1982 — 1986
Princeton University August 2004 - Present
Prudential Securities September 1987 - March 1992
BDO Seidman July 1984 - September 1987
Skills
Certified Public..., CPA, Financial Statements
Education
St. Francis College 1980 — 1984
BS, Accounting
Bishop Kearney High School 1976 — 1980
Dennard Lascar Associates LLC February 2008 - Present
SMH Capital October 2006 - December 2007
MotherRock L.P. June 2005 - July 2006
Prudential Securities June 1994 - June 2004
Howard Weil December 1989 - June 1994
Skills
Financial Analysis, Financial Markets, Investor Relations, Valuation, Investments, Portfolio Management, Equity Research, Energy, Equities, Financial Modeling, Due Diligence, Mergers & Acquisitions, Finance, Corporate Finance, Forecasting, Capital Markets, Business Valuation, Analysis, Private Equity, Hedge Funds, Institutional..., Financial Services, Entrepreneurship, Business Development, Asset Management, Securities, Alternative Investments, Bloomberg, Emerging Markets, Restructuring, Venture Capital, Trading, Fixed Income, Investment Banking, Management, Asset Managment, Equity Valuation
Education
Southern Methodist University - Cox School of Business 1988 — 1989
MBA, Finance
The University of Texas at Austin 1974 — 1978
B.A., Honors
Hamilton Robinson Capital Partners October 2013 - Present
Standard Parking August 2009 - August 2010
Standard Parking May 2004 - August 2009
Holberg Incorporated August 1994 - May 2009
New York Cruise Lines, Inc. September 1990 - August 1994
Planter Technology June 1989 - May 1990
Prudential Securities August 1985 - June 1987
Royal Norwegian Naval Academy June 1980 - August 1982
Skills
Mergers, Corporate Finance, Finance, Due Diligence, Private Equity, Mergers & Acquisitions, Management, Corporate Governance, Cash Flow, Banking, IPO, Start-ups, Strategy
Education
Stanford University Graduate School of Business 1987 — 1989
MBA, Management
Tufts University 1982 — 1985
BA, Economics & International Relations
Oslo Handelsgymnasium 1979 — 1982
Artium, Business
UBS Financial Services, Inc. February 2001 - December 2013
Prudential Securities August 1980 - February 2001
Education
Southern Methodist University - Cox School of Business 1979 — 1980
M.B.A., Finance
University of Mississippi 1973 — 1977
B.B.A., Banking & Finance
Wachovia Securities 2004 - 2007
Prudential Securities 1987 - 2004
Prudential Financial 1987 - 2004
Prudential-Bache 1987 - 1989
Cowen & Co 1981 - 1987
Skills
Analysis, Securities, FINRA, Organization, Series 7, Series 63, Series 24, Wealth Management, AML, Fixed Income, Equities, Portfolio Management, Investments, Mutual Funds, Alternative Investments, Investment Advisory, Financial Services, Asset Management
Education
State University of New York College at Cortland
State University of New York September 2009 - Present
Morgan Stanley February 2005 - February 2009
Wachovia / Prudential 1993 - 2005
Prudential Securities February 1993 - November 2004
Skills
Testing, Databases, Human Resources, SDLC, Perl, Risk Management, Java, Management, Business Analysis, SQL, Hibernate, Data Analysis, Python, Healthcare Information..., Enterprise Software, Training, Tomcat, SOAP, Flex, Struts, Visio, Healthcare
Education
State University of New York Health Science Center at Brooklyn 2009 — 2011
M.S., Medical Informatics
University of Michigan 1988 — 1992
BDA
Retired and Relaxed April 2012 - Present
NASAA November 1998 - June 2011
State of Wisconsin November 1986 - June 2011
parker hunter 1985 - 1986
prudential securities 1974 - 1985
merchants national bank 1970 - 1972
Skills
Steam locomotive...
Education
State University of New York College at Oswego 1966 — 1970
Statestreet Corp. January 2014 - Present
Statestreet Corp. January 2012 - January 2014
Prudential Securities August 1994 - January 1995
Skills
Fund Accounting, Portfolio Management, Mutual Funds, Fixed Income, Financial Services, Asset Managment, Risk Management, SDLC, Middle Office, Derivatives, Process Improvement, Business Analysis, Vendor Management, Corporate Actions, Back Office, Securities, Global Custody, Requirements Gathering, Equities, Banking, Relationship Management, Investments, Financial Risk, SWIFT messaging, Insurance, Financial Analysis, Fund Administration, Hedge Funds, Alternative Investments, Reference Data, Securities Lending, FX Options, Strategic Financial..., Series 63, Capital Markets, Project Portfolio..., Financial Markets, Trading Systems, Client Services, Business Requirements, Finance, Trading, Series 7, Sybase, User Acceptance Testing, Investment Management, Bloomberg, Analysis, Autosys, PMO
Education
Stonehill College 1990 — 1994
BA Finance, Minor in Economics
Broadridge Financial Services March 2005 - Present
AIG May 2003 - April 2005
Prudential Securities August 2000 - December 2002
Societe Generale 1999 - 2000
Advanced Technology Enterprise 1999 - 1999
Advanced Technology Enterprise 1999 - 1999
Recruiting Company 1998 - 1999
Skills
PMO, Program Management, Business Analysis, MS Project, Project Management, SharePoint, PMP, Project Server, Outsourcing, Quality Assurance, Governance, Software Project..., Business Process..., Requirements Analysis, Requirements Gathering, Management, Software Development, Project Portfolio..., Software Documentation, Vendor Management, SDLC, IT Strategy, Business Requirements, IT Management, Certfied PMP, Project..., Visio, Microsoft Project
Education
Teachers College of Columbia University 1996 — 1998
Master's degree, Organizational Development
Teachers College of Columbia University 1996 — 1998
Master of Education (M.Ed.), Counseling Psychology
Pearson Learning Solutions April 2011 - Present
Lincoln Public Schools 2007 - 2010
South Hadley Public Schools September 2005 - August 2007
Amherst Public Schools September 2004 - August 2005
Ladenburg Thalmann November 2001 - April 2002
Prudential Securities February 2001 - November 2001
J.P. Morgan July 2000 - February 2001
Skills
Editing, Online Publishing, Editorial, Writing, Teaching, Project Management, Differentiated..., Book Design, Web Content Creation, Textbooks, Education, Elementary Education, Teacher Training, Publications, Publishing, Instructional Design, Content Development, Content Management, Copy Editing
Education
Bank Street College 2002 — 2004
MS, Education
Skidmore College 1996 — 2000
BA, English
South Hadley High School
Citi July 2012 - Present
Citigroup - Citi Cards North America (N.A.) December 2002 - July 2012
JP Morgan Chase March 2001 - December 2002
Prudential Financial 1998 - 2000
Prudential Financial 1997 - 1998
Prudential Securities 1994 - 1997
Skills
Marketing Management, Credit Cards, Segmentation, Customer Retention, Marketing, Vendor Management, Issue Management, Issue Remediation, Program Management, Business Planning, Lead Generation, Sales, Analytics, Call Centers, Risk Management
Education
Saint Thomas Aquinas College 1991 — 1992
Bachelor of Business Administration (B.B.A.), Marketing
State University of New York College of Agriculture and Technology at Cobleskill 1989 — 1991
Associate in Business Administration, Marketing
UBS Financial Services January 2009 - Present
Merrill Lynch April 2003 - January 2009
Prudential Securities October 1998 - April 2003
Education
Slippery Rock University of Pennsylvania 1992 — 1996
Rinderer Abstract December 2010 - Present
Siemens PLM Software June 2009 - Present
Charter Communications September 2006 - December 2007
Wachovia Securities Financial Network August 2002 - October 2004
Prudential Securities January 2000 - August 2002
Oppenheimer & Co. November 1998 - January 2000
Smith Barney January 1996 - November 1998
Skills
Software Documentation, Management, Customer Service, Time Management, Salesforce.com, Administration, Microsoft Excel, SAP, Customer Satisfaction, PowerPoint, Teamwork, Microsoft Word, Accounting, Sales, Accounts Payable, Networking, Insurance, Finance, Leadership, Product Development
Education
Edwardsville Sr. High 1980 — 1984
St. Louis Community College
Business / Legal
The Roosevelt Investment Group March 2007 - May 2013
Freedom Capital Management March 1994 - March 2007
Tucker Anthony June 1991 - March 1994
Prudential Securities September 1989 - June 1991
Skills
Equities, Series 7, Buy-side, Securities, FX trading, Series 63, Wealth Management, Trading Strategies, Bloomberg, Trading, Trading Systems, Asset Allocation, Equity Trading, Separately Managed..., Electronic Trading, Equity Research, Hedge Funds, Portfolio Management, Capital Markets, Investments, Bonds, Fixed Income, Mutual Funds, Asset Management, Investment Management, Investment Strategies, Emerging Markets, ETFs, Technical Analysis, Financial Markets, Alternative Investments, Options, Derivatives, Management, Financial Services, Valuation, Strategy, Financial Modeling, Risk Management, Finance, Investment Banking, Financial Analysis, Analysis, Equity Derivatives, Private Equity, FX Options, Economics
Education
Syracuse University 1983 — 1987
BA, English
St Johns 1979 — 1983
Curb Defender LLC May 2014 - Present
First Fax,LLC January 2004 - January 2011
Pesot Renewable Energy, LLC January 2001 - January 2004
Tucker Anthony Sutro November 2000 - September 2001
Wexford Clearing Services October 1998 - November 2000
Prudential Securities April 1995 - October 1998
Skills
Investments, Retirement Planning, Strategic Financial..., Project Management, Entrepreneurship, Small Business, Brand Development
Education
Syracuse University - Martin J. Whitman School of Management
Bachelor's Degree, Finance and Financial Management Services
The Cardinal Partners July 2015 - Present
Greenwich Associates January 2014 - July 2015
Greenwich Associates, CAS Consulting August 2006 - January 2014
Mount Snow November 2005 - April 2008
Greenwich Associates 2001 - 2005
Prudential Securities 2000 - 2001
Sands Brothers 1999 - 2000
Sargent & Sargent, LLC 1997 - 1999
Skills
Strategic Planning, Asset Management, Market Research, Asset Managment, Marketing Strategy, Investments, Leadership, Strategy, Portfolio Management, Financial Analysis, Business Strategy, Financial Services, Financial Modeling, Valuation, Private Equity, Management
Education
Smith College 1993 — 1997
BA, English Literature
Greenwich High School
Pivotal Labs May 2014 - Present
Pivotal Labs February 2013 - May 2014
Benchmark Solutions April 2010 - January 2013
Tradeweb July 2004 - March 2010
Thomson Financial July 2003 - July 2004
Prudential Securities July 2001 - July 2003
Skills
Trading Systems, Market Data, Fixed Income, Electronic Trading, Credit Derivatives, Bonds, Derivatives, Financial Markets, Equities, Bloomberg, Trading, Financial Services, Interest Rate..., Capital Markets, Business Analysis, FX Options, Equity Derivatives, Hedge Funds, Portfolio Management, Asset Managment, Private Equity, Reference Data, Low Latency, Securities, Structured Products, Middle Office, Swaps, Commodity, Proprietary Trading, Business Development, Agile Methodologies, Product Management, Product Development
Education
New York University - Leonard N. Stern School of Business 2005 — 2007
MBA, Finance & Investments, Global Business
Syracuse University 1994 — 1998
BS, Information Management & Technology
Voyageur Asset Management 1999 - 2009
Firstar Investment Research and Management Company (FIRMCO) 1998 - 1999
Wellington Management 1998 - 1998
Prudential Securities 1993 - 1996
Skills
Asset Managment, Relationship Management, Philanthropy, Volunteering, Equity Research, Investment Management, Asset Management, Investments, Portfolio Management, Asset Allocation, Mutual Funds, Series 7, Alternative Investments, Equities, Financial Analysis
Education
The Ohio State University Fisher College of Business 1989 — 1993
BSBA
Suffolk University - Sawyer Business School 1996 — 1998
MBA
The Ohio State University
Holistic Doctor July 2010 - Present
Prudential Equity Group, LLC January 2004 - June 2008
Prudential Securities October 1986 - December 2003
Skills
System Administration, Negotiation, Management, Research, Contract Negotiation, Team Leadership, Budgets, Editing, Leadership, Insurance, Human Resources, Contract Management, Finance, Marketing, Vendor Management, Customer Service, Healthcare, Strategic Planning, Online Research, Newsletters, Microsoft Office, Public Speaking, Social Media, Information Literacy, Program Management, Records Management, New Business Development, Microsoft Excel, Investment Banking
Education
University of Maryland College Park 1977 — 1978
MLS
Stony Brook University 1972 — 1976
B.A., Elementary Education
Barclays Capital 2008 - Present
Lehman Brothers November 1998 - September 2008
Cantor Fitzgerald 1993 - 1998
Prudential Securities 1989 - 1993
Chemical Bank 1986 - 1989
Skills
Trading Systems, Equity Trading, Smart Order Routing, Exchange Connectivity, Electronic Trading, Equities, Series 7, Connectivity, Series 63, Financial Markets, Market Structure, Investment Banking, Series 55, Dark Pools, Series 24, Order Management, Routing, Prime Brokerage, Derivatives, Equity Derivatives, Options, Low Latency, Trading, Hedge Funds, Fixed Income, Capital Markets
Education
NYU Stern School of Business 1991 — 1995
MBA, Corporate Strategy, Operations Management
Stevens Institute of Technology 1982 — 1987
Bachelor of Engineering, Electrical Engineering
Wells Fargo Advisors August 1999 - Present
Prudential Securities September 1995 - July 1999
BeneSys, Inc. March 1993 - September 1995
Skills
Investments, Mutual Funds, Retirement Planning, 401k, Asset Allocation, Financial Advisory, Retirement, Investment Strategies, Alternative Investments, Financial Analysis, Finance, Securities, Hedge Funds
Education
Tennessee Technological University 1986 — 1992
Compass Financial, A financial advisory practice of Ameriprise Financial Services, Inc. October 2014 - Present
Janney Montgomery Scott LLC February 2000 - September 2014
Prudential Securities 1989 - 2000
Wachovia Securities 1989 - 2000
Home Port Agency 1987 - 1989
Prudential-Bache 1985 - 1989
Education
Stockton University 1989 — 2001
ACCC 1988 — 1989
Transferred, Business Administration
Holy Spirit High School 1981 — 1985
Citi 2013 - Present
Citi 2011 - 2013
Citi 2008 - 2011
Citi 2005 - 2008
Wall Street Strategies July 2003 - August 2003
Prudential Securities July 2000 - August 2000
New York Partnership & Chamber of Commerce December 1997 - June 1998
Skills
Series 7, Investments, Banking, Risk Management, Finance, KYC, Securities, Financial Risk, Financial Services, Fixed Income, Management, Portfolio Management, Financial Analysis
Education
Saint John's University - Peter J. Tobin College of Business 2012 — 2016
Master of Business Administration (M.B.A.), Executive Management
Saint John's University - Peter J. Tobin College of Business 2001 — 2005
Bachelor of Science (B.S.), Finance
Wells Fargo June 2015 - Present
Bank of America June 2012 - June 2015
Bank of America August 2011 - July 2012
Bank of America March 2010 - August 2011
Wells Fargo March 2009 - October 2009
Wachovia May 2008 - March 2009
Wachovia October 2006 - April 2008
Wachovia August 2005 - October 2006
Wachovia July 2004 - August 2005
Prudential Securities June 2002 - July 2004
Skills
Strategy, Business Process..., Management, ERP, Project Management, Disaster Recovery, SDLC, Enterprise Software, Process Improvement, Program Management, Business Analysis, Human Resources, Leadership, Financial Services, Banking, IT Operations, Data Warehousing, Vendor Management, Financial Risk, Information Technology, Risk Management, Portfolio Management, System Administration, Mergers, Strategic Planning, Business Intelligence, Service Delivery, IT Strategy, Governance, Project Portfolio..., PMO, Mergers & Acquisitions, IT Management, Enterprise Architecture, Finance, Business Process, Outsourcing
Education
Syracuse University 1989 — 1993
BS, Information Studies
Credit-Suisse July 1999 - Present
Credit Suisse July 1999 - January 2000
Prudential Securities July 1989 - June 1999
Xerox Corporation July 1987 - July 1989
Skills
Fixed Income, Reference Data, Derivatives, Portfolio Management, Finance, Management, Investment Banking, Business Analysis
Education
Syracuse University 1987 — 1989
MBA, Finance
Exelsior College 1985 — 1987
Bachelor of Science (B.S.), Mathematics, English, 3.5
Morgan Stanley Smith Barney 2009 - Present
Smith Barney 2004 - Present
Citi Global Wealth Management 2004 - Present
Citi Smith Barney 2004 - Present
Citi 2004 - June 2009
Prudential Securities 1989 - 2004
THOMSON McKINNON SECURITIES 1971 - 1989
Education
Smith College 1962 — 1966
University of Edinburgh
Barclays November 2012 - Present
Credit Suisse November 2011 - November 2012
Morgan Stanley Smith Barney June 2009 - November 2011
Citi February 2003 - June 2009
Alfa Capital Markets December 2001 - January 2003
Prudential Securities June 1999 - December 2001
CIBC OPPENHEIMER April 1997 - May 1999
Skills
AML, Alternative Investments, Asset Management, Capital Markets, Derivatives, Equities, FINRA, FX Options, Financial Advisory, Financial Risk, Fixed Income, Financial Services, Hedge Funds, Investment Advisory, Investment Banking, Investments, KYC, Operational Risk, Mutual Funds, Operational Risk..., Options, Options Strategies, Private Equity, Risk Management, Securities, Securities Regulation, Series 63, Series 65, Series 7, Structured Products, Wealth Management
Education
St. Francis College 1996 — 1999
Saint John's University 1994 — 1997
Xaverian High School 1990 — 1994
Drinker Biddle & Reath LLP March 2013 - Present
US Securities & Exchange Commission September 2004 - March 2013
Dechert LLP June 2001 - September 2004
Milbank, Tweed, Hadley & McCloy LLP March 2000 - June 2001
Morvillo Abramowitz Grand Iason Anello & Bohrer October 1999 - March 2000
The Honorable Raymond J. Dearie, USDJ, EDNY August 1998 - October 1999
Prudential Securities May 1986 - August 1995
Skills
Litigation, Securities Regulation, Securities Litigation, Securities, FCPA, Civil Litigation, White Collar Criminal..., Internal Investigations, Arbitration, FINRA, Fraud, Enforcement, Due Diligence
Education
Saint John's University School of Law 1995 — 1998
Doctor of Law (J.D.)
University at Albany, SUNY 1983 — 1986
B.A., Economics/Psychology
Raymond James Financial Inc. September 2014 - Present
UBS Wealth Management August 2007 - May 2014
Morgan Stanley February 2006 - August 2007
Goldman Sachs April 2005 - September 2005
Wachovia March 2002 - December 2004
Prudential Securities March 1997 - March 2002
Skills
Trading Systems, IT Strategy, Equities, Business Analysis, Requirements Analysis, Market Data, Electronic Trading, Trading, Leadership, SOA, Agile Methodologies, SDLC, Systems Analysis, Portfolio Management, Enterprise Architecture, Java, DB2, Unix
Education
Syracuse University 1990 — 1992
M.S, Applied Mathematics/Statistics
University of Wyoming 1987 — 1990
B.S., Electrical Engineering
Shanghai Jiao Tong University 1984 — 1987
Electrical Engineering
Federal Reserve Bank of St. Louis January 2004 - December 2012
Federal Reserve Bank of St. Louis April 2001 - January 2004
Prudential Securities December 1999 - July 2000
Skills
PeopleSoft, Customer Service, Microsoft Office, Process Improvement, International Travel, Concur Travel System, Lawson Requisition..., Mathtype
Education
St. Louis Community College 2013 — 2014
Washington University in St. Louis 1987 — 1989
Brown Brothers Harriman July 2011 - Present
Advisors Asset Management, Inc. August 2009 - June 2011
UBS Financial Services October 2005 - April 2009
UBS Financial Services May 2003 - September 2005
Prudential Financial Incorporated January 2000 - February 2002
Prudential Securities January 1994 - December 1999
Prudential Securities January 1987 - December 1993
Education
Seton Hall University
Bachelor of Science
Crédit Agricole CIB August 2014 - Present
RBC March 2013 - July 2014
UBS Investment Bank April 2010 - November 2012
DB 2004 - 2010
Deutsche Bank 2004 - 2010
RBS Greenwich Capital 2001 - 2004
Prudential Securities 1994 - 1999
NatWest 1989 - 1994
Skills
Capital Markets, Trading, Bloomberg, Bonds, Derivatives, E-commerce, Electronic Trading, Fixed Income, Portfolio Management, Rates, Sales, Alternative Investments, Financial Markets, Options, Structured Products, Investment Banking, Investments, Hedge Funds, Trading Systems, Treasury
Education
Siena College 1978 — 1984
B.A., Sociology
ADP May 2012 - Present
Zebies World December 2011 - November 2014
Prudential June 2002 - May 2012
ASTD New York City Chapter 2010 - 2011
Prudential Securities August 2000 - October 2001
ERNST & YOUNG March 1999 - August 2000
Skills
Talent Management, Training Delivery, Organizational..., Career Development, Employee Engagement, Performance Management, Leadership Development, Organizational..., Change Management, Coaching, Succession Planning, Onboarding, Instructional Design, Needs Analysis, Blended Learning, Management Development, E-Learning, Leadership, Employee Training, Program Management, Strategy, Training, Instructor-led Training, Learning Management..., Executive Coaching
Education
Teachers College of Columbia University
Ed.D., Politics and Education
Affusion Consulting July 2013 - Present
Credit Suisse February 2012 - June 2013
Saddle River Valley Bank October 2011 - December 2011
TD Bank Group May 2011 - October 2011
Deutsche Bank November 2009 - April 2011
JPMorgan Hedge Fund Services December 2007 - September 2008
Credit Suisse August 2007 - October 2007
Citigroup March 1998 - July 2007
Prudential Securities August 1991 - March 1998
Securities Settlement Corp 1984 - 1991
Skills
Capital Markets, Fixed Income, Banking, Securities, Hedge Funds, Portfolio Management, Bloomberg, Trading, Derivatives, Equities, AML, Financial Risk, KYC, Analysis, Settlement, Options, Structured Products, Financial Markets, Back Office, Corporate Actions, Financial Services, Prime Brokerage, Alternative Investments, Valuation, Middle Office, FX Options, Broadridge, MBS, QA, UAT, Surveillance, Dodd-Frank Act, Accounting, SDLC, Trade Lifecycle, Business Analysis, Due Diligence, Swaps, Actimize, Mantas, FATCA, Static Data, Golden Source, Dodd-Frank, FINRA, Finance, OFAC, Credit Derivatives, Investment Banking, Loans
Education
State University of New York College at Geneseo 1976 — 1980
Guggenheim Partners April 2010 - Present
Merrill Lynch May 2008 - May 2010
Merrill Lynch October 2006 - April 2007
Merrill Lynch April 2005 - October 2006
Travelers Life & Annuity 2005 - 2005
Prudential Securities 1994 - 2005
Skills
Wealth Management, Investments, Management, Portfolio Management, Business Development, Strategy, Mutual Funds, Series 7, Fixed Income, Financial Services, Branch Banking, Marketing, Equities, Financial Advisory, Alternative Investments, Asset Management, Series 63, Asset Allocation, Finance, Securities, Investment Advisory, Hedge Funds, Capital Markets, Investment Strategies
Education
Syracuse University 1989 — 1993
Bessemer Trust December 2010 - Present
IndexIQ July 2007 - June 2009
Deutsche Asset Management March 2005 - February 2007
Deutsche Asset Management June 2004 - March 2005
Deutsche Asset Management March 2002 - June 2004
Zurich Scudder Investments (acq by Deutsche Bank) April 2000 - March 2002
Prudential Securities 1999 - 2000
Goldman Sachs 1998 - 1999
ISO 1994 - 1998
Education
Stony Brook University 1987 — 1992
Voya Financial April 2007 - Present
Joseph Sangimino INC. Member Firm , NYSE July 2006 - January 2007
Bear Stearns May 1999 - July 2006
E.D.& F Man Global Markets July 1996 - May 1999
Prudential Securities 1992 - 1996
Education
Springfield College 1987 — 1991
B.S.
New Wave Energy LLC August 1996 - Present
Merrill Lynch February 1994 - February 1996
Prudential Securities 1985 - 1994
Gulf Oil Trading Company July 1981 - July 1984
Skills
Commodity, Trading, Equities, Energy, Economics, Petroleum, Options, Hedging, Portfolio Management, Derivatives, Investments, Mutual Funds, Asset Management
Education
Stanford University 1974 — 1978
Bachelor's degree, Economics
School of Hard Knocks, Prudhoe Bay, Alaska
The Palette Fund 2009 - Present
Casco Capital Management January 2015 - Present
Lamond Capital February 2012 - December 2014
Jumo 2010 - 2011
Robin Hood Foundation 2009 - 2010
Echoing Green 2004 - 2010
Chilton Investment Company 2003 - 2009
Capital Research and Management June 2002 - August 2002
Chilton Investment Company 1998 - 2001
Prudential Securities 1997 - 1998
Skills
Financial Modeling, Social Entrepreneurship, Venture Capital, Valuation, Due Diligence, Investments, Portfolio Management, Equities, Hedge Funds, Equity Research, Finance, Start-ups, Private Equity, Business Strategy, Investment Strategies, Mergers
Education
Stanford University Graduate School of Business 2001 — 2003
M.B.A
University of Virginia 1993 — 1997
B.A; B.A, Economics; French
Darien High School 1989 — 1993
Freimark Blair & Co, January 2006 - Present
Prudential Securities 1999 - 2004
Skills
Emerging Markets, Capital Markets, Fixed Income, Financial Markets, Equities, Trading, Investment Banking, Bonds, Derivatives
Education
Saint John's University 1989 — 1995
St. John's University, The Peter J. Tobin College of Business 1989 — 1995
B.S., Business Management, Minor Psycholgy
C2 Financial Corporation June 2014 - Present
Tri-Emerald Financial Group November 2011 - June 2014
LendingTree July 2010 - March 2011
Bankers Mortgage Lending April 2003 - June 2010
Prudential Securities March 1997 - October 2002
Henry Schein January 1991 - December 1996
Skills
Credit Risk, Credit Analysis, Credit, Loan Origination, Refinance, Mortgage Lending, First Time Home Buyers, Mortgage Banking, Loans, Underwriting, VA loans, FHA, Reverse Mortgages, Residential Mortgages, Investments, DU Refi Plus, Open Access, Finance, Real Estate, USDA, Banking, Portfolio Management, Government Loans, Mortgage Underwriting, Asset Management, Real Estate Financing, Construction Loans, Certified Mortgage..., Investment Properties, Non-Conforming, Commercial Lending, Loss Mitigation, Mortgage Marketing, Home Equity Loans, Mortgage Servicing, Real Estate Economics, Wholesale Lending, Fannie Mae, VA Loans
Education
State University of New York College at Oneonta 1985 — 1990
BS, Business and Accounting
HSBC Global Banking and Markets January 2011 - Present
Bank of New York Mellon December 2008 - October 2010
HSBC November 2006 - August 2008
Tri-Coastal Design May 2004 - March 2005
CGI-AMS 2005 - 2005
Prudential Securities 1996 - 2002
Skills
Software Documentation, Databases, Microsoft SQL Server, Analysis, Visual Basic, Crystal Reports, CRM, Business Analysis, Management
Education
State University of New York at Buffalo - School of Management 1992 — 1996
Regulatory Compliance, LLC February 2015 - Present
Resources Global Professionals 2008 - February 2015
Financial Compliance Services November 2007 - February 2015
Bear Stearns 2003 - 2007
Prudential Securities 1994 - 2003
Safian Investment Research 1991 - 1994
NASD 1986 - 1989
Skills
AML, Due Diligence, Hedge Funds, Asset Management, Investment Advisory, Compliance, Auditing, Securities, Compliance Management, Regulatory Reporting, Risk Assessment, FINRA, Operational Risk..., Policy, KYC, Mutual Funds, Series 7, Equities, Asset Allocation, Wealth Management, Capital Markets, Trading, Financial Services, Financial Risk, Private Equity, Loans, Fixed Income, Investment Banking, Derivatives, Portfolio Management, Corporate Governance, Investment Management, Alternative Investments, Mergers & Acquisitions, Insurance, Finance, Anti Money Laundering
Education
Syracuse University 1981 — 1985
Bachelor's degree, Economics
KeyBanc Capital Markets June 2013 - Present
Leerink Swann June 2008 - May 2013
Bear Stearns & Co. Inc October 2002 - May 2008
Gruntal & Co August 1999 - October 2001
Prudential Securities June 1998 - August 1999
Skills
Competitive Analysis, Equity Valuation, Asset Management, Portfolio Management, Alternative Investments, Series 63, Trading, Financial Analysis, Mutual Funds, Forecasting, Investment Strategies, Risk Management, Capital Markets, Corporate Finance, Equities, Hedge Funds, Equity Research, Financial Modeling
Education
Oswego State University 1990 — 1994
Bachelor of Arts, Economics
State University of New York College at Oswego 1990 — 1994
Bachelor's degree, Economics
Intelsat 2013 - Present
SafeNet Inc. 2010 - 2013
Brunswick Group 2006 - 2009
Edelman 2003 - 2006
Edelman 2001 - 2003
Edelman 2000 - 2001
Morgen-Walke Associates 1998 - 1999
Caspian Securities 1996 - 1998
Prudential Securities 1994 - 1996
Tinker Foundation 1991 - 1994
Skills
Marketing, Strategic Planning, Communication Training, Mergers, Communications Planning, Investor Relations, Corporate Communications, Financial Communications, Crisis Communications, Transaction..., Media Relations, Employee Communications, IPO, Event Management, Mergers & Acquisitions, Messaging, Analyst Relations, Internal Communications
Education
State University of New York College at Geneseo 1987 — 1991
Bachelor of Arts, Political Science
Nomura October 2010 - Present
Barclays Capital September 2008 - October 2010
Lehman Brothers January 2007 - September 2008
Neuberger Berman Clearing a Lehman Brothers Subsidiary March 2005 - January 2007
Goldman Sachs Asset Management February 2003 - March 2005
Goldman Sachs November 1997 - February 2003
Prudential Securities September 1993 - October 1997
Skills
Financial Services, Prime Brokerage, Fixed Income, Hedge Funds, Equities, Equity Trading, Equity Derivatives, Trading Systems, Investments, Electronic Trading, Derivatives, Client Services, Capital Markets, Alternative Investments, Proprietary Trading, Trading
Education
New York University - Leonard N. Stern School of Business 2007 — 2009
MBA, Finance Specialization
State University of New York College at Plattsburgh 1989 — 1993
BS, Business Administration
St Anthony's 1985 — 1989
Park Avenue Securities October 2005 - Present
Park Avenue Securities August 2011 - October 2011
TD Waterhouse February 2005 - October 2005
Park Avenue Securities January 2001 - February 2005
Prudential Securities June 1999 - December 2000
NYSE Regulation July 1998 - May 1999
Skills
Mergers, Investments, Investment Advisory, SEC, Financial Services, Auditing, Securities, Internal Audit, Equities, Capital Markets, Asset Managment, USA PATRIOT Act, Risk Management, Compliance, Asset Management, Series 7, Financial Risk, Mergers & Acquisitions, AML, FINRA, Series 63, Financial Advisory, Mutual Funds
Education
St. John's University, The Peter J. Tobin College of Business 1994 — 1998
BS, Finance
Wolfe Research, LLC July 2015 - Present
Janney Capital Markets August 2010 - June 2015
FBR Capital Markets June 2006 - May 2010
Wedbush Morgan Securities April 2000 - May 2006
Prudential Securities 1993 - 1997
Skills
Retail, Equity Research, Valuation, Financial Analysis, Mutual Funds, Series 63, M&A experience, Finance, Capital Markets, Venture Capital, Investment Banking, Asset Allocation, Equities, Financial Modeling, Hedge Funds, Stock Picking, Equity Valuation, Series 7, Private Equity, Structured Finance, Competitive Analysis, Sell Side, FINRA, Management, Mergers & Acquisitions, Investments, Alternative Investments, Bloomberg, Securities, Fixed Income, Portfolio Management, Investment Strategies, Asset Management, Investment Management
Education
UCLA Anderson School of Management 1997 — 1999
MBA, Finance
Stanford University 1988 — 1992
BS, Industrial Engineering
TEKsystems 2012 - 2013
AXA Equitable 2005 - 2012
AXA Equitable 2000 - 2004
Prudential Securities 1997 - 2000
Edwards & Hedrick, CPAs, P.A. 1996 - 1997
Pope, Smith, Brown & King, PA 1994 - 1996
Butera, Sinicropi & Healy, LLC 1989 - 1994
Skills
Financial Planning, Project Portfolio..., Product Development, Six Sigma, Process Development, Process Improvement, Process Optimization, Business Analysis, Business Intelligence, Competitive Intelligence, Data Analysis, Capacity Planning, Budgeting, Forecasting, Relationship Management, Contract Negotiation, SDLC, Series 7, Series 24, Series 63, Series 65, Strategic Financial..., Change Management, Risk Management, Leadership, Cross-functional Team..., Vendor Management, Budgets
Education
St. John Fisher College
BS, Accounting
SunGard February 2001 - Present
Swiss American Securities February 1998 - February 2001
Prudential Securities February 1996 - February 1998
Skills
Capital Markets, Equities, Securities Lending, Bloomberg, Fixed Income
Education
St. Mary's College of Maryland 1991 — 1994
BA, Economics
Gerson Lehrman Group - Sales April 2003 - February 2014
William Blair and Company 1998 - 2003
Prudential Securities 1993 - 1998
Northern Trust 1990 - 1993
Drexel Burnham Lambert 1983 - 1990
Education
Southern Illinois University, Carbondale
Bachelor of Science (BS), Finance and Accounting
JP Morgan Chase 2010 - Present
Saxon Mortgage July 2007 - March 2011
Select Portfolio Servicing Inc. August 2003 - July 2007
Prudential Securities April 2000 - December 2002
Prudential Securities November 1993 - March 2000
The Chase Manhattan Bank January 1991 - October 1993
Drexel Burnham Lambert October 1988 - December 1990
J.J. Kenny Inc. May 1986 - September 1988
Education
New York University - Leonard N. Stern School of Business 1990 — 1995
MBA, Finance
Syracuse University 1980 — 1985
BS, Finance, Management Information Systems
Weeden & Co. MD/PrincipalBear Stearns & Co1998 - 2008
Prudential Securities 1994 - 1998
Bessemer Trust 1989 - 1994
John S. Herold, Inc. 1986 - 1989
Texaco 1978 - 1986
Education
Skidmore College 1974 — 1978
Business
American School of the Hague 1973 — 1974
Newton Country Day School of the Sacred Heart 1970 — 1974
Prudential Real Estate Investors March 2013 - December 2014
Morgan Stanley Smith Barney January 2010 - August 2011
Prudential Investments 2000 - 2009
Prudential Investments 1991 - 1999
Prudential Securities 1986 - 1991
Skills
Project Management, Risk Management, Business Analysis, Process Improvement, PMP, Strategic Planning, Software Project..., Leadership, Requirements Analysis, Vendor Management, IT Strategy, PMO, Project Portfolio..., Program Management, SDLC, IT Management, Business Process, Integration, Requirements Gathering, Business Process..., Change Management, Analysis, Strategy, Business Requirements, Management, Outsourcing
Education
Chubb Institute
Certificate, Computer Programming
Excelsior College
Masters, Business Administration
Immaculate Conception College
Immaculate Conception College
Immaculate Conception College
Stevens Institute of Technology
Graduate Certificate, Professional Communication (in progress)
The George Washington University - School of Business
Masters Certificate, IT Project Management
The George Washington University - School of Business
Masters Certificate, Business Analysis
Villanova University
BS, Chemistry
Villanova University
Masters Certificate, Six Sigma Green Belt
UBS September 2011 - Present
Brown Brothers Harriman August 2009 - September 2011
Merrill Lynch & Co., Inc. February 2005 - August 2009
Merrill Lynch 1986 - 2009
Prudential Securities 1993 - 1995
Skills
Deferred Compensation, Business Strategy, Management, Employee Benefits, Mergers & Acquisitions, Human Resources, Succession Planning, Leadership, Performance Management, Pensions, Talent Management, Budgets, Financial Services, Private Equity, Mergers, Vendor Management, Executive Management, Organizational Design, HRIS, Employee Engagement, Onboarding
Education
Stevens Institute of Technology
Masters of Managemenet Science, Industrial Psycholocy
Citigroup September 1992 - Present
Citi June 2010 - Present
citigroup February 2005 - June 2010
Citi September 1997 - January 2005
Citigroup September 1995 - September 1997
Prudential Securities October 1989 - September 1992
Skills
Series 7, Options, Fixed Income, Mutual Funds, Alternative Investments, Series 4, Series 9/10, Series 14, Marketing Communications, Structured Products, Suitability, Suitability Analysis, US Equities, Syndicate, Regulatory Analysis, Policy Writing, Control Systems Design
Education
St. Francis College 1985 — 1989
BS, Management
CenturyLink Technology Solutions November 2012 - Present
CBS Corporation April 2012 - June 2012
BT Global Services, BT Radianz, Radianz, and Instinet October 1999 - February 2009
Prudential Securities August 1996 - July 1999
US Navy March 1992 - March 1996
Skills
Commercial Management, Financial Management, RFP..., Team Leadership, Financial Reporting, Cost Management, Budget Analysis, Process Development, Pricing, P&L, Budgeting, Telecommunications, Planning, Problem Solving, Process Improvement, Forecasting, Contract Negotiation, Financial Analysis, Sales Operations, Sales Analysis, Sales Reporting, MSA/Contract..., Hosting, Data Communication, IT Financial Management, MBA, Budgets, Managerial Finance, Managed Services, Finance
Education
St. John's University, The Peter J. Tobin College of Business 1996 — 2000
MBA, Finance
University at Albany, SUNY 1987 — 1991
BA, Political Science
Con Edison October 2009 - Present
State Street Bank August 2003 - February 2009
Neuberger Berman 2006 - 2007
Deutsche Bank September 2001 - August 2003
Prudential Securities May 1999 - September 2001
Skills
Bloomberg, Equities, Asset Managment, Investments, Financial Modeling, Financial Markets
Education
State University of New York - System 1995 — 1999
Bachelor of Science, Finance
Victorinox Swiss Army, Inc. May 1994 - Present
Prudential Securities 1993 - 1994
Skills
Corporate Gifts, Incentives, B2B, Sales Management, Sales Operations, SAP, Forecasting, Service Awards, Sales Promotion, Account Management, Purchasing, Marketing, Supply Chain, Sales, Product Marketing, Negotiation, Marketing Communications, Customer Service, Brand Development, Marketing Strategy, Product Development, Management
Education
Southern Connecticut State University 1988 — 1992
Bachelor of Science (BS), Finance
Valid Technologies March 2004 - Present
Engineered Business Systems January 2002 - March 2004
Fleet Bank 2000 - 2003
Barnett Banks Private Client Services 1996 - 2000
Prudential Securities 1993 - 1995
Lord Geller Federico Einstein / LEO 1987 - 1992
True North 1985 - 1987
Ketchum Communications 1978 - 1984
Skills
Strategic Planning, IT Strategy, Start-ups, Integration, Security, Management, CRM, Disaster Recovery, Computer Security, Enterprise Software, Account Management, Strategic Partnerships, SaaS, Business Development, Business Intelligence, Strategy, Cloud Computing, Business Analysis, Program Management, Vendor Management, Enterprise Architecture, Product Management, Software Project..., IT Management, New Business Development, Project Management, Software Development
Education
New York University - Leonard N. Stern School of Business 1983 — 1984
MBA, Computer Applications and Information System Management
Syracuse University - Maxwell School 1978 — 1979
MPA, Public Administration
Stifel Nicolaus 2007 - Present
Ryan Beck & Co. 2003 - 2007
Quick and Reilly / Fleet Securities 2001 - 2002
Prudential Securities 1987 - 2000
Skills
Series 7, Fixed Income, Trading, Series 63, Equities, Bloomberg, Capital Markets, Securities, Series 24, Hedge Funds, Investments, Structured Products, Derivatives, Electronic Trading, Bonds, Alternative Investments, Options, ETFs, FINRA
Education
Villanova University 1983 — 1987
BS:BA, Finance
Seton Hall University
Master of Business Administration (MBA)
St. John Vianney HS
Auburn Symphony June 2010 - Present
Board Member Auburn Sutter Faith Hospital June 2008 - Present
PACIFIC CUSTOM MACHINING April 1994 - Present
Robval Corporation April 1989 - Present
SUTTER AUBURN FAITH FOUNDATION January 2013 - January 2015
Auburn Symphony June 2012 - June 2013
Soroptimist International Sierra Nevada Region April 2010 - March 2013
Leadership Auburn September 2010 - June 2011
Prudential Securities March 1981 - November 1988
Skills
Leadership, Fundraising, Public Speaking, Customer Service, Team Building, Leadership Development, Marketing, Nonprofits, Event Planning, Strategic Planning, Public Relations, Management
Education
State University of New York College at Fredonia 1962 — 1966
B.S., Early Childhood Education / Art History
Edward Jones October 2001 - Present
Prudential Securities October 1998 - October 2001
Houghton International July 1986 - October 1998
Education
State University of New York College at Buffalo 1965 — 1969
BS, Education
Lenox Advisors 2009 - Present
Metlife June 2005 - June 2009
Morgan Stanley September 1999 - June 2005
Prudential Securities August 1994 - September 1999
Cartoon Saloon 1992 - 1993
Education
State University of New York College at Oneonta 1988 — 1991
University of Bridgeport 1987 — 1988
Bayside High School
E*TRADE Financial (Consultant) December 2013 - April 2014
J&W Seligman September 1996 - August 2009
Prudential Securities April 1991 - September 1996
Skills
Microsoft Office Suite, Retirement Specialist, Customer Relations, Strong Analytical Skills, Report Generation, Mutual Funds, Data Entry, Transaction Processing, Administration, Problem Solving, Microsoft Office, Customer Service, Analysis, Retirement
Education
Skidmore College 1986 — 1990
BA, Goverment/Music
Barclays September 2008 - Present
Lehman Brothers June 2004 - September 2008
Morgan Stanley March 2002 - June 2004
Morgan Stanley April 1998 - March 2002
Oppenheimer & Co. July 1996 - April 1998
Prudential Securities July 1992 - July 1996
Skills
Capital Markets, Derivatives, Equities, Fixed Income, Regulatory Examinations, Regulatory Inquiries, Trading Systems
Education
Syracuse University 1988 — 1992
Bachelor of Science (B.S.), Finance/Economics
Pershing 2003 - Present
JPMorgan Chase 2002 - 2003
Merrill Lynch 1996 - 2002
Pershing 1995 - 1996
Dean Witter 1994 - 1995
Prudential Securities 1991 - 1994
Neil S. Sullivan & Associates 1988 - 1991
Trane 1986 - 1988
Education
Stevens Institute of Technology 1981 — 1986
Bachelor of Engineering, Mechanical
National Income Life Insurance Company July 2015 - Present
Fidelity Investments February 2012 - June 2012
Fidelity Investments January 2010 - February 2012
Deutsche Bank May 2006 - May 2009
Pershing LLC August 2005 - May 2006
UBS Financial, Stamford August 2004 - August 2005
Fidelity Investments February 2004 - August 2004
Natexis Bleichroeder February 1997 - September 2003
Prudential Securities October 1990 - February 1997
Morgan Stanley & Co October 1978 - June 1990
Skills
Global Custody, Securities Lending, Settlements, Reconciliation, Euroclear, SWIFT, Dividends, Prime Brokerage, SWIFT payments, Settlement, Account Reconciliation, Securities, Equities, Corporate Actions, Financial Services, Trading, Back Office, Middle Office, Capital Markets, Fixed Income, Bloomberg, Hedge Funds
Education
State University of New York College at Geneseo 1974 — 1978
BA, Liberal Arts - History
State University of New York College at Geneseo
Bachelor's degree, History
Fragomen, Del Rey, Bernsen & Loewy July 2010 - Present
Metavante Risk and Compliance Solutions April 2008 - May 2010
Home Decor Products January 2008 - March 2008
Vertis Communications April 2007 - December 2007
TATA Communications Ltd. (fka VSNL) October 2004 - March 2007
American Express February 2001 - September 2004
Prudential Securities May 2000 - January 2001
Citibank February 1999 - April 2000
Skills
Microsoft SQL Server, C#, SQL, VB.NET, XML, Software Development, IIS, AJAX, T-SQL, Web Services, ASP.NET, Visual Studio, Crystal Reports, Enterprise Architecture, Requirements Analysis, Software Engineering, Business Analysis, SSRS, Database Design, WCF, Databases, .NET, Agile Methodologies, SDLC, SSIS, Software Project..., SOA
Education
South Gujarat University 1995 — 1998
MCA, Computer Science
South Gujarat University 1992 — 1995
B Sc, Physics
Canon U.S.A., Inc. November 2009 - Present
UBS Wealth Management July 1999 - October 2009
Prudential Securities July 1997 - July 1999
Sikorsky Aircraft July 1996 - July 1997
Bellcore September 1995 - July 1996
Education
Stony Brook University 1991 — 1995
BS, Computer Science
Home September 2012 - Present
Ultimate Insurance Resource, Inc. 2014 - 2014
Ultimate Insurance Resource, Inc. 2014 - 2014
Ultimate Insurance Resource 2014 - 2014
Delaware Valley Financial Group, Inc. May 2011 - November 2012
Safe Harbor Financial, Inc. July 2007 - April 2011
Safe Harbor Financial, Inc. October 2001 - July 2007
Prudential Securities January 1999 - January 2000
Skills
Retirement Planning, IRAs, Fixed Annuities, Marketing, Customer Service, Team Building, Microsoft Office, InDesign, Training, Leadership, Management, Email Marketing
Education
Richard Stockton College of New Jersey 1998 — 2001
Bachelor of Science (BS)e, Business Administration and Management, General
Rowan College 1994 — 1997
No Degree, Voice and Opera
Office of the Secretary of Defense Historians Office September 2013 - Present
Semester At Sea / ISE January 2013 - May 2013
Keele University September 2012 - November 2012
Sewanee - The University of the South August 2007 - July 2012
Vanderbilt University September 2002 - August 2007
McDonald & Co 2000 - 2001
JC Bradford 1991 - 2000
Dean Witter 1983 - 1991
Prudential Securities 1982 - 1983
Bateman Eichler Hill Richards 1981 - 1982
Education
Vanderbilt University 2002 — 2007
PhD, History
Stanford University 1975 — 1979
JD / MBA, Business and Law
The University of Texas at Austin 1972 — 1975
BBA, Business
Bristol-Myers Squibb June 2015 - Present
Astra Zeneca February 2014 - May 2015
Bristol-Myers Squibb January 2000 - January 2014
Frost National Bank February 1999 - January 2000
Prudential Securities January 1998 - January 1999
Merrill Lynch May 1995 - April 1997
Skills
Pharmaceutical Sales, Cardiology, Diabetes, Pharmaceutical Industry, Neurology, Managed Care, Psychiatry, Sales Effectiveness, Market Access, Hospital Sales, New Business Development, Sales Operations, Neuroscience
Education
St. Mary's University
B.B.A., International Business
JPMorgan Chase N.A. August 2003 - Present
Prudential Securities January 2000 - August 2003
Education
Syracuse University 1991 — 1995
Bachelors, Information Studies, Concentration in Business Management
Citi May 1999 - Present
Prudential Securities January 1993 - May 1999
Skills
Portfolio Management, Investments, Asset Managment, Bloomberg, Finance, Credit, Mutual Funds, Financial Analysis, Alternative Investments, Microsoft Excel, Strategic Planning, Due Diligence, Equities, Mergers & Acquisitions, Series 63, Corporate Finance, Management, Securities, Hedge Funds, Bonds, Asset Management
Education
Syracuse University - Martin J. Whitman School of Management 1977 — 1980
bs, Marketing/Finance/Economics
Friends Academy
High School Degree
State of New Jersey Office of the Attorney General October 2013 - Present
Law Offices of Timothy J. Little May 2009 - September 2013
Law Offices of Stephen E. Gertler September 2008 - May 2009
New Jersey Superior Court, Monmouth County, Civil Part September 2007 - September 2008
Clearstream Banking March 2001 - August 2002
Chase Manhattan Bank January 1997 - December 1999
Prudential Securities January 1995 - December 1997
Education
Seton Hall University School of Law 2003 — 2007
JD, Law
Chubb Institute of Technology 1999 — 1999
Programming, Mainframe Programming
York College of Pennsylvania 1992 — 1995
BS, Accounting
Kismet Capital Advisors LLC 2004 - Present
Prudential Securities 1994 - 2003
Lehman Brothers 1990 - 1994
New York Center 1982 - 1990
Skills
Microsoft Office, Management, Microsoft Excel, Microsoft Word, Research, PowerPoint, Sales, Leadership, Training, Photoshop
Education
State University of New York College at Oneonta 1976 — 1980
Bachelor of Science (BS), Business and Economics
Half Hollow Hills High School
Academic
Purshe Kaplan Sterling Investments October 2005 - Present
Morgan Stanley 2000 - 2005
First Albany Corp. 1994 - 2000
Prudential Securities 1984 - 1994
Skills
Equities, Fixed Income, Portfolio Management, Mutual Funds, Series 7
Education
Siena College
BS, Finance
Siena College
Bachelor of Science (B.S.) Finance
Citibank managing directorCitigroupMay 1999 - Present
Prudential Securities January 1993 - May 1999
Chase Bank March 1990 - February 1996
Skills
Portfolio Management, Equities, Investment Banking, Asset Management, Investments, Trading, Derivatives, Hedge Funds, Securities, Bloomberg, Wealth Management, Credit, Mutual Funds, Risk Management, Valuation, Fixed Income, Capital Markets, Customer Service, Series 7, Bonds
Education
Syracuse University 1977 — 1980
Marketing & Finance
Friends Academy 1973 — 1976
High School
Wells Fargo Advisors October 1998 - December 2009
Prudential Securities July 1989 - October 1997
U.S. Navy August 1976 - April 1986
Education
Southern Illinois University, Carbondale 1986 — 1988
Bachelors of Science, Radio/Television
Lincoln College 1974 — 1976
Associate of Arts, Broadcast Communications
Normal Community
Morgan Stanley December 2001 - Present
Prudential Securities May 1998 - December 2001
Skills
Equities, Fixed Income, Capital Markets, Investments, Asset Management, Asset Allocation, Portfolio Management, Wealth Management, Investment Strategies, Investment Advisory, Bonds, Financial Modeling, Retirement Planning, Financial Analysis, Risk Management, Retirement, Credit, 401k, Cash Management, Strategic Planning, Securities, Series 63, Financial Services, Finance, Loans, Business Strategy, Series 7, Financial Markets, Valuation, Bloomberg, Strategic Financial..., MBS, Mergers, ETFs, Wealth Management..., Investment Banking, Financial Advisory, Separately Managed..., Fund Of Funds, Structured Finance, Financial Structuring, High Net Worth..., Private Banking, Institutional..., Business Planning, Wealth
Education
St. Francis College 1988 — 1992
BS, Economics
Wells Fargo November 1982 - Present
prudential securities 2002 - 2004
Education
St. John's University 1978 — 1982
Bachelor's degree, Marketing, 3.5
SunGard Securities Finance 2006 - Present
Prudential Securities 1987 - 2006
Manufacturers Hanover Trust 1978 - 1986
Education
St. Francis College
Bachelors Degree, Management
Raymond James & Associates, Inc March 2015 - Present
Raymond James & Associates, Inc. April 1999 - April 2013
Prudential Securities September 1989 - April 1999
Thomson Mckinnon October 1986 - September 1989
Education
Forest Hills High School, NY
High School Diploma, Academic
State University of New York College at Cortland
UBS 2006 - Present
Piper Jaffray February 2001 - July 2006
Prudential Securities April 1977 - February 2001
Skills
Series 7, Series 63, Wealth Management, Equities, Alternative Investments, Fixed Income, Series 65, Equity Research, MBS, Series 24
Education
Seton Hall University 1970 — 1971
Widener University 1965 — 1969
B.S. Economics, Economics
Sterling National Bank November 2011 - February 2014
BNY Mellon October 2005 - April 2010
Prudential Securities 1987 - 2007
Skills
Retail Banking, Credit, Banking, Equities, Funding, Corporate Actions, Fixed Income, Financial Analysis, Bonds, Credit Analysis, Payments, DTC, Financial Services, Back Office, Commercial Banking, Asset Management, Risk Management, Securities, Portfolio Management, Dividends, Loans
Education
State University of New York College at Oneonta
European History
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
Financial Industry Regulatory Authority (FINRA) November 2012 - Present
Goldman Sachs August 1998 - April 2012
Valores Finamex November 1995 - March 1998
Prudential Securities 1988 - 1995
Skills
Securities Lending, Equities, Prime Brokerage, Middle Office, Fixed Income, Hands-on Training, Mentoring New Hires, Superior Client Service, Change Management, Hedge Funds, Team Leadership, FX Options, Trading Systems, Settlement, Electronic Trading, Derivatives, Corporate Actions, Options, Capital Markets, Operational Risk..., Securities, Financial Markets, Back Office, Equity Trading, Risk Management, Equity Derivatives, Emerging Markets, Investment Banking, FINRA, Series 7, Alternative Investments, Structured Products, Swaps, Client Services
Education
Syracuse University 1984 — 1988
BS, Dual Major- Managerial Statistics and Marketing
MF Global January 2006 - November 2011
Refco Securities March 2004 - December 2005
Prudential Securities January 1998 - March 2004
Skills
Financial Analysis, Account Reconciliation, Reconciling, Bank Relations, Accounting Research, Accounting Analysis
Education
State University of New York College at Old Westbury 1979 — 1982
BTIG July 2012 - Present
Bascom Hill Partners / Lions Path Capital / The Galleon Group June 2007 - July 2012
Thomas Weisel Partners July 2006 - July 2007
Prudential Securities July 2000 - July 2006
first union 1996 - 1999
first union 1996 - 1999
first union 1996 - 1999
first union 1996 - 1999
first union 1996 - 1999
first union 1996 - 1999
Skills
Hedge Funds, Mutual Funds, Equities, Bloomberg, Alternative Investments, Equity Research
Education
Syracuse University
University of Maryland - Robert H. Smith School of Business
Master of Business Administration (MBA)
JPMorgan June 2008 - Present
Bear Stearns March 2007 - June 2008
Jefferies & Company January 2004 - December 2006
Prudential Securities November 1984 - December 2003
Skills
Prime Brokerage, Equities, Series 7, Fixed Income, Securities, Hedge Funds, Investment Banking, Data Analysis, Business Analysis, Financial Services, Risk Management
Education
SUNY Stony Brook 1980 — 1984
Bachelor of Arts (B.A.), Economics
William Blair and Company December 2007 - Present
prudential securities September 1992 - June 2007
Skills
Fly Fishing, Entrepreneurship, Series 63, Equity Trading, Equities, Series 7, Capital Markets, Bloomberg, Fixed Income, Hedge Funds, FINRA, Alternative Investments, Equity Research, Options, Securities, Trading, Financial Markets, Series 24
Education
Syracuse University - Martin J. Whitman School of Management 1994 — 1996
Master of Business Administration (MBA), Finance
st. john's university 1988 — 1992
Bachelor of Science (BS), Business/Corporate Communications
Panessa Investments 1995 - Present
The Newport Group February 2002 - February 2009
CIBC Oppenheimer 2000 - 2002
Putnam Investments 1997 - 2000
Prudential Investments 1991 - 1997
Prudential Securities 1991 - 1997
MetLife 1990 - 1991
The Futterman Organization 1989 - 1990
MetLife 1988 - 1989
Skills
Financial Analysis, Strategic Financial..., Private Equity, Investment Portfolios, Business Strategy, Strategic partner..., Intermediary..., Senior level client..., Recruiting, Real Estate Acquisitions, Distressed M&A, Executive Level...
Education
State University of New York College at Oneonta 1983 — 1988
B.S., Business Economics, Finance, General
Wells Fargo Advisors, LLC May 2009 - Present
Citi Smith Barney May 2002 - May 2009
Prudential Securities 1983 - 2002
Skills
Finance, Investments, Mutual Funds, Management, Asset Allocation, Securities, Financial Analysis, Fixed Income, Equities, Portfolio Management, Retirement, Wealth Management, Financial Services, Retirement Planning, Asset Management, Financial Planning, Risk Management, Banking, Financial Modeling
Education
Syracuse University 1975 — 1980
BA Economics, Economics and Engineering
Financial Services August 2014 - Present
Hanson McClain Advisors October 2012 - July 2014
brokersXpress LLC July 2010 - August 2012
Pointe Capital/JHS Capital Advisors May 2004 - September 2010
Sterling Financial Investment Group 2003 - 2004
Sterling Financial Investment Group 2003 - 2004
UBS 2002 - 2003
Prudential Securities 1993 - 1997
Education
Syracuse University 1974 — 1978
Bachelor's Degree
Raymond James Financial Inc. 2011 - Present
Robert W. Baird & Co. 1998 - 2011
Prudential Securities 1993 - 1998
Interstate/Johnson Lane Inc. 1992 - 1993
Skills
Investments, Financial Planning, Certified Financial..., Wealth Management
Education
Syracuse University
Bachelor's degree, Economics