EF Hutton
Industry: Brokerage firm
DescriptionEF Hutton is an American stock brokerage firm founded in 1904 by Edward Francis Hutton and his brother, Franklyn Laws Hutton. Later, it was led by well known Wall Street trader Gerald M. Loeb. Founded: 2012 Headquarters: Springfield, OH Founders: Edward Francis Hutton, Gerald M. Loeb, Franklyn Laws Hutton Key people: Gerald M. Loeb, Peter Ueberroth, Robert M. Fomon, Christopher Daniels
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EF Hutton Employees
Cantor Real Estate LP/Resolution Recovery Partners Manager August 2014 - Present
Ranieri Real Estate Partners May 2012 - August 2014
Citigroup August 2011 - January 2012
Deutsche Bank August 1999 - February 2011
Deutsche Bank 1997 - 1999
Bankers Trust 1993 - 1997
U.S. Department of Treasury - Office of Thrift Supervision 1988 - 1993
Merrill Lynch 1985 - 1988
EF Hutton 1983 - 1985
National Westminster Bank-USA 1979 - 1983
Skills
Credit Risk, Basel II, Middle Office, Operational Risk, Market Risk, FINRA License 28-FinOps, FINRA, Product Development, Risk Management, Capital Markets, Governance, Investment Banking, Due Diligence, Financial Risk, Financial Markets, Corporate Finance, Valuation, Mergers & Acquisitions, Finance, Analysis, Equities, Structured Finance, Derivatives, Fixed Income, Banking, Investments, Securities, Financial Services, Credit
Education
University of Notre Dame - Mendoza College of Business 2011 — 2012
Certificate, Management & Leadership
Cornell University 1975 — 1979
B.S., Economics
Baldwin Senior High School 1972 — 1975
High School Diploma, General Studies
Merrill Lynch February 2011 - Present
Morgan Stanley Smith Barney December 2010 - March 2011
Citi Personal Wealth Mgmt/ Formerly Smith Barney June 2006 - April 2010
Citicorp Investment Services May 2003 - June 2006
Smith Barney October 1989 - May 2003
EF Hutton 1985 - 1988
Skills
FINRA, Series 7, Series 24, Series 63, Securities, Mutual Funds, AML, Wealth Management, Investment Advisory, Investments, KYC, Equities, Retirement Planning, Banking, Investment Banking, Insurance, Risk Management, Due Diligence, Uniform Combined State..., Alternative Investments, Financial Risk, Financial Advisory
Education
Eastern Michigan University 1974 — 1979
BS, Political Science
Morgan Stanley (Smith Barney & Predecessor Firms) April 2009 - Present
Smith Barney April 2004 - April 2009
Smith Barney April 1997 - April 2004
Smith Barney 1988 - 1997
EF Hutton 1986 - 1988
Skills
Series 7, Series 63, Wealth Management, Asset Allocation, Mutual Funds, Alternative Investments, Retirement Planning, Investment Advisory, Securities, Investments, Asset Management, FINRA, Portfolio Management, Investment Strategies, Strategic Financial...
Education
Drexel University 1980 — 1985
MBA, Marketing/Finance
Wittenberg University 1974 — 1978
BA, Business/Economics
Century 21 M&M and Associates February 2006 - Present
Timberline Design and Construction January 1990 - June 2007
Clovis Unified School District August 1988 - June 2001
EF Hutton March 1983 - July 1983
Skills
REO, Short Sales, SFR, Listings, Buyer Representation, Foreclosures, Single Family Homes, Income Properties, First Time Home Buyers, New Home Sales, Real Estate, Referrals, Property
Education
California State University-Fresno 1985 — 1987
Teaching Certificate, Multi subject
California Lutheran University 1976 — 1980
BA, Fine Arts
Benjamin F. Edwards & Co. August 2014 - Present
Wells Fargo Advisors 2008 - 2014
A.G. Edwards & Sons, Inc. 1983 - 2008
Hammerbeck & Company, Inc. 1978 - 1983
EF Hutton 1973 - 1978
First California Company Inc 1971 - 1973
M.S. Wien & Company 1969 - 1971
Weeden & Co. 1966 - 1969
Skills
Investments, Portfolio Management, Finance, Wealth Management, Financial Services, Financial Analysis, Customer Service, Retirement Planning, Mutual Funds, Investment Advisory, Financial Advisory, Sales
Education
Catawba College 1961 — 1965
BA
Ameriprise Financial Services, Inc. January 2013 - Present
Hallman & McQuinn Capital Managment September 2000 - October 2010
Prudential Securities, Inc January 1987 - June 1996
EF Hutton July 1983 - January 1987
Merrill Lynch September 1979 - July 1983
Education
Marquette University 1974 — 1978
B.S., Business
Wells Fargo Advisors March 1992 - Present
EF Hutton February 1980 - March 1992
Skills
Series 7, Series 63, Series 8, Investments, Portfolio Management, Equities, Fixed Income, Alternative Investments, Wealth Management, Asset Management, Asset Allocation, Financial Modeling, Capital Markets, Securities, Risk Management, Valuation, Investment Strategies, Mutual Funds, Relationship Management, Mentoring, Networking, Parenting
Education
Princeton University 1958 — 1962
Bachelor's degree, Chemical Engineering
American University
Graduate Studies in Finance
Wells Fargo Insurance, Inc December 2005 - November 2014
AMA Insurance Agency May 2004 - November 2005
Avco Insurance / Balboa Life & Casualty April 1988 - February 2002
EF Hutton June 1981 - April 1988
Skills
Insurance, Financial Services, Leadership, Sales Management, Underwriting, Fixed Annuities, Management, Strategy, Property & Casualty..., Banking, Life Insurance, Process Improvement, Strategic Planning, Marketing, Financial Analysis, Sales, Risk Management, Executive Management, Finance, Strategic Leadership, General Insurance, Claim, Retirement Planning, Investments, Employee Benefits, Retirement, Portfolio Management, Disability Insurance, New Business Development, Team Building, Financial Risk, Reinsurance, Business Development, Mergers & Acquisitions, Account Management, Marketing Strategy, Business Strategy, Program Management, P&L Management, Business Planning, Start-ups, Vendor Management, Strategic Partnerships, Healthcare, Brokerage, Human Capital Management, Nonprofits, Board Governance
Education
Harvard Business School 1979 — 1981
Master of Business Administration (MBA), Honors
Villanova University 1975 — 1979
Bachelor of Science (BS), Business Administration and Management, General, Summa cum laude
Refreshed and Refined LLC February 2012 - Present
Refined Design Home Staging July 2004 - February 2012
The Copeland Companies November 1991 - October 1997
EF. Hutton August 1986 - June 1990
Skills
Home, New Home Sales, Sellers, First Time Home Buyers, Residential, Home Staging, Property..., Interior Design, Re-design, Organization, Home Staging, Residential Homes, Relocation, Real Estate
Education
Franklin University 1985 — 1988
Finance, General
Stagedhomes.com 2007 — 2007
Business, Home Staging
NATIONAL ASSOCIATION OF SECURITIES DEALERS
NASD Series &
Holy Innocents Religious Education September 2005 - Present
UBS 2004 - 2005
ABN AMRO Asset Management (Guernsey) Limited 2003 - 2004
ING 2000 - 2002
Furman Selz 1990 - 2000
Shearson Lehman 1987 - 1990
EF Hutton 1986 - 1987
Troster Singer 1984 - 1986
Englander Marino 1984 - 1984
Genovese Drugs 1976 - 1984
Skills
Prime Brokerage, Mutual Funds, Equities, Portfolio Management, Fixed Income, Institutional, Asset Managment
Education
Baruch College 1971 — 1976
BA, English
Bishop Loughlin 1967 — 1971
Hilliard Lyons May 1983 - Present
Marina Jack 1981 - 1983
EF Hutton 1979 - 1981
Competition Sails, Inc 1976 - 1979
Education
Eckerd College 1972 — 1976
Business Management
Verde Valley School, Sedona, AZ 1969 — 1972
Fieldsa Vineyards June 2001 - Present
Charles Schwab August 1994 - June 2001
Fidelity Investments August 1988 - August 1994
EF Hutton February 1971 - August 1988
Skills
Marketing Strategy, Wine, Change Management, Strategic Planning, Sales, Event Management, Start-ups, Marketing, Portfolio Management, Budgets
Education
Florida State University 1967 — 1971
EF Hutton December 2012 - Present
Apple Retail June 2011 - September 2012
maurices September 2006 - June 2011
Education
Black Hills State University 2006 — 2010
Bachelor of Business Administration (B.B.A.), Entrepreneurship/Entrepreneurial Studies and Business Management
UBS Wealth Management February 2009 - Present
Morgan Stanley August 1988 - February 2009
EF Hutton November 1986 - August 1988
Skills
Financial Planning, Portfolio Management, Series 7, Wealth Management, Asset Allocation
Education
CSU Chico 1979 — 1982
BS, Finance, Economics
Chabot College 1978 — 1979
AA, General Studies
Grella Financial Services 2000 - Present
Dean Witter 1987 - 1989
EF Hutton 1984 - 1987
James F. Leonard Middle School 1969 - 1984
Skills
Teacher, Personal Financial..., Investments, Securities, Financial Services, FINRA, Finance, Retirement Planning, Estate Planning, Retirement, Investment Advisory, Financial Advisory, IRAs, Wealth Management, Series 7, Wealth, Mutual Funds, Trusts, Fixed Annuities, 401k, Asset Allocation, Series 63
Education
Merrimack College 2000 — 2001
Certificate, Financial Planning and Services
Boston College 1969 — 1971
Master's degree, Education
UMass Lowell 1965 — 1969
Bachelor of Applied Science (B.A.Sc.), Education
Societe Generale July 2006 - July 2011
HSBC July 2004 - June 2006
WAMU June 2003 - June 2004
Caisse des Dépôts January 1992 - May 2002
Sanwa Bank 1989 - 1990
UBS 1988 - 1989
EF Hutton 1987 - 1987
Citi 1985 - 1987
Federal Reserve Bank of New York 1980 - 1985
Skills
Market..., Customer Relations, Capital Markets, Trading, Bonds, Financial Markets, Bloomberg, Equities, Asset Management, Fixed Income, Commodities, Hedge Funds, Risk, Technical Analysis, Asset Managment, Collateral Management, Commodity, Banking, Valuation, Derivatives, Investment Banking, Structured Finance, Financial Risk, Swaps, Alternative Investments, Financial Structuring, Options, Securities, Customer Service, Private Equity, Risk Management, Interest Rate..., Trading Systems, FX Options, Money Market, Asset Liability..., Public Speaking, Expert Witness, Liquidity Management, Risk Assessment, Market Risk, Fixed Income Strategies, Fixed Income Portfolio..., Funding, Finance
Education
New York University
Bachelor of Science (B.S.), Finance / Management
Rogers & Company Wealth Management 1986 - Present
LPL Financial 1986 - Present
Washington University in St. Louis 1987 - 1989
EF Hutton April 1976 - April 1986
Skills
Alternative Investments, Investment Advisory, Investment Strategies, Wealth Management, Series 7, Mutual Funds, Strategic Financial..., Asset Allocation, Investments, FINRA, Fixed Annuities, 401k, Financial Advisory, IRAs, Retirement Planning, Retirement, Investment Management, ETFs, Asset Managment, Series 63, Securities, Finance, Portfolio Management, Estate Planning, Risk Management, Financial Services, Strategic Planning, Wealth, Management, Equities, Public Speaking
Education
Washington University 1985 — 1987
EMBA, International Business
University of Sophia, Tokyo 1987 — 1987
EMBA, International Business
Washburn University 1969 — 1971
Bachelor's Degree, Business Administration, Management and Operations
Benedictine College 1967 — 1969
Business Administration and Management, General
Wells Fargo Advisors, LLC 2010 - Present
Wells Fargo Advisors March 2010 - July 2011
Smith Barney September 1992 - January 2009
Paine Webber February 1990 - September 1992
Merrill Lynch Life Insurance July 1987 - February 1990
EF Hutton April 1983 - July 1987
Skills
Estate Planning, Wealth Management, Sales, Coaching, Team Building, Training, Best Selling Author, Alternative Investments, Wealth, Long Term Care Insurance, Retirement Planning, Insurance, Life Insurance, Financial Advisory, Strategic Financial..., Fixed Annuities, Financial Analysis, Retirement, Series 63, IRAs, Series 6, Asset Allocation, Series 7, Investment Advisory, Mutual Funds
Education
College for Financial Planning 1987 — 1989
CFP, Financial Services
California State University-Fullerton, Mihaylo College of Business and Economics 1972 — 1974
BA, Marketing & Business Admin
Long Beach City College
Balser Wealth Management, LLC October 2005 - Present
Balser Wealth Management, LLC January 2005 - Present
McDonald Investments 2000 - 2004
smith barney 1991 - 2000
EF Hutton 1986 - 1988
Skills
Private Equity, Investments, Wealth Management, Portfolio Management, Strategy, Risk Management, Alternative Investments, Venture Capital, Hedge Funds, Equities, Asset Managment, Investment Management, Mergers
Education
Baldwin Wallace College 1982 — 1985
Bachelor, Economics
Earlham College 1981 — 1981
Elyria High School 1978 — 1980
Citi June 1998 - December 2012
Smith Barney Shearson - Travellers 1993 - 1998
Shearson Lehman Hutton/Shearson Lehman Bros 1988 - 1993
EF Hutton 1983 - 1988
Skills
Banking, Business Analysis, Leadership, Risk Management, Fixed Income, Financial Services, Portfolio Management, Credit Risk, Derivatives, Finance, Retail Banking, Equities, Investment Banking, Relationship Management, Financial Risk, SDLC
Education
City University of New York-Hunter College 1973 — 1980
Bachelor's degree, Mathematics and Statistics, 3.675
Massachusetts Institute of Technology 1967 — 1970
none, Mathematics
Quality Building Services 2014 - Present
Massapequa school district September 2008 - Present
Barry and Florence Friedberg JCC (Bellmore Rec Program) July 2010 - August 2013
Homemaker and Private Childcare Provider December 1990 - May 2008
Lutheran Church of the Redeemer August 1996 - May 1998
Shearson Lehman Brothers June 1988 - November 1990
Greyside Realty Corporation July 1986 - June 1988
EF Hutton August 1983 - July 1986
Skills
Continuing education..., Applied Behavior..., Interviewing, hiring,..., Administration and..., Staff Development, Leadership, Classroom, Childcare, Marketing, Teaching, Interviews, Administration, Human Resources, Customer Service, Budgets, Special Education, Tutoring, Curriculum Design, Curriculum Development
Education
Adelphi University 1981 — 1983
Bachelor of Business Administration (BBA), Business
Nassau Community College 1979 — 1981
Associate of Arts (AA), Liberal Arts and Sciences/Liberal Studies
National General Insurance December 2013 - Present
Combined Insurance March 2013 - December 2013
Colonial Life March 2009 - February 2011
UnitedHealth Group February 2008 - March 2009
CompBenefits April 2003 - March 2008
EF Hutton 1985 - 1988
Skills
Salesforce.com, Microsoft Excel, Dragon Naturally..., Strategic Planning, Sales Management, Customer Service, Team Building, Negotiation, Account Management, Management, Product Development, Recruiting, Team Leadership, Sales, Health Savings Accounts, Sales Presentations, Sales Process, Microsoft Office, Marketing, Direct Sales, New Business Development, Employee Benefits, Marketing Strategy, Business Development
Education
Eastern Washington University 1981 — 1984
BA, Political Science
Columbia Basin College 1980 — 1981
Janney Montgomery Scott March 2009 - Present
breathing room foundation 2009 - 2014
Wachovia Securities Financial Network March 2006 - 2009
UBS Wealth Management May 1993 - March 2006
EF Hutton 1981 - 1987
Skills
Alternative Investments, Fixed Annuities, Mutual Funds, Bonds, Financial Advisory, Retirement
Education
Duke University 1976 — 1980
BS
The Lawrenceville School
Navigant March 2012 - Present
PWC January 2008 - January 2012
MetLife January 2002 - December 2007
MetLife January 2000 - December 2001
Fidelity Enterprise Data Systems 1997 - 1999
Chase Manhattan Bank 1990 - 1997
Merrill Lynch 1987 - 1990
EF Hutton 1981 - 1987
Skills
Financial Services, Insurance, Banking, Annuities, Retirement Planning, Operations, Technology, Management Consulting, Customer Service, Change Management, Transformation, Call Centers, M&A due diligence, M&A Integration, Project Management, Business Process..., Re-engineering, Global Operations, Product Management, Business Strategy, Business Management, BPO, Executive Management, P&L Management, Governance, Thought Leadership, Business Architecture, Operating Models, Mergers, Management, Mergers & Acquisitions, Due Diligence, Outsourcing, Operations Management, Process Improvement, Leadership, Performance Management, Start-ups, Business Process, Finance, Program Management, Financial Analysis, Consulting, Integration, Strategic Planning, Business Transformation, Forecasting, Team Management, Acquisition Integration, Recruiting
Education
Long Island University 1980 — 1983
MBA, Management and Finance
Saint Michael's College 1975 — 1979
BA, Business Administration
Morgan Stanley Smith Barney April 2011 - April 2013
EF Hutton December 1986 - August 1990
Procter & Gamble January 1985 - December 1986
Skills
Series 7
Education
California State University-Chico 1981 — 1985
BS, Business Marketing
Morgan Stanley Smith Barney December 1990 - Present
Tucker Anthony May 1989 - December 1990
EF Hutton July 1983 - November 1987
Education
Middlebury College 1967 — 1970
MA
Northwestern University 1963 — 1967
BA
Foy Financial Services, Inc. 1993 - Present
Foy Financial Services, Inc. 1987 - Present
EF Hutton 1984 - 1987
Dain Bosworth 1980 - 1984
Skills
Portfolio Management, Asset Allocation, Risk Management, Estate Planning, Technical Analysis, Financial Planning
Education
Dana College 1970 — 1974
Bacholor of Science, cum laude, Biology
Ralston High School 1966 — 1970
Valedictorian
Founders Equity January 2011 - Present
Houlihan Lokey August 2008 - September 2010
SK Capital Partners 2010 - 2010
UBS Investment Bank November 2000 - February 2008
PaineWebber April 1997 - November 2000
Prudential Securities, Inc March 1986 - April 1997
Merrill Lynch 1984 - 1986
EF Hutton 1981 - 1983
Skills
Banking
Education
Kingsborough Community College 1979 — 1981
Associates, Early Childhood Education
FDR High School 1976 — 1979
Montauk Junior High School
Merrill Lynch August 1990 - Present
EF Hutton August 1984 - August 1990
Education
Louisiana State University and Agricultural and Mechanical College 1980 — 1984
Bachelor of Science (B.S.), Finance, General
Foredestine ceoTremont Capital ManagementApril 1994 - June 2008
Tremont 1994 - 2008
Tremont Capital Managment 1994 - 2008
Tremont Capital Management (Division Oppenheimer Fund) 1994 - 2008
ef hutton 1984 - 1987
Skills
Alternative Investments, Private Equity, Equities, Asset Managment, Hedge Funds, Investor Relations, Marketing Strategy, Asset Management, Investments, Strategic Planning, Financial Analysis, Capital Markets, Due Diligence, Asset Allocation, Finance, Financial Services, Portfolio Management, Investment Management, Investment Strategies, Fixed Income
Education
New York University 1963 — 1967
bs, chemistry
GREATER NEW ENGLAND MINORITY SUPPLIER DEVELOPMENT COUNCIL June 2015 - Present
MACQUARIE INFRASTRUCTURE AND REAL ASSETS, INC. July 2014 - Present
OUR CLUB COLLECTION LLC September 2013 - June 2015
THE COMMUNITY'S BANK February 2001 - September 2013
United American Healthcare Corporation November 2001 - September 2005
HURST CAPITAL PARTNERS, INC February 1990 - February 2001
Brooklyn Bancorp, Inc./Crossland Federal Saving Bank August 1993 - September 1996
Dean Witter Reynolds January 1988 - January 1990
EF HUTTON May 1986 - December 1987
Board of Governors of the Federal Reserve System April 1984 - May 1986
Skills
Mergers & Acquisitions, Finance, Private Equity, Strategic Planning, Capital Markets, Restructuring, Corporate Finance, Banking, Commercial Lending, Portfolio Management, Financial Institutions, Investments, Mergers, Risk Management, Due Diligence, Loans, Commercial Banking, Business Strategy, Credit Analysis, Small Business, Team Building, Credit, Investment Banking, Financial Services, Entrepreneurship, Strategy, Negotiation, Financial Analysis, Retail Banking, Executive Management, Fundraising, Management, Management Consulting, Change Management, Venture Capital, Financial Modeling, Leadership, Public Speaking, New Business Development, Mortgage Lending, Business Development, Nonprofits, Leadership Development, Budgets, Contract Negotiation, Asset Management, Securities, Start-ups
Education
HARVARD LAW SCHOOL 1978 — 1981
JURIS DOCTOR, LAW
Duke University 1974 — 1978
Bachelor of Arts (B.A.), Accounting
Spurgeon Financial Group, Inc. August 1987 - Present
SFGI August 1977 - Present
EF Hutton November 1982 - August 1986
Skills
Registered Investment..., Wealth Management, Estate Planning, Retirement, Investments, Asset Allocation, Wealth, Tax, Investment Advisory, IRAs, Retirement Planning, Pensions
Education
Cal Poly San Luis Obispo
First Data Corporation January 2015 - Present
H R Munn September 2008 - December 2014
Citigroup January 1999 - June 2008
Smith Barney Shearson& Solomon Smith Barney April 1993 - December 1998
Shearon Lehmam Brothers January 1988 - March 1993
EF Hutton January 1969 - December 1987
Skills
Risk, Banking, Audit, Re-engineering, Budgeting, Financial Risk, Budgets, Auditing, Securities, Fixed Income, Risk Management, Capital Markets, Hedge Funds, Operational Risk, Financial Services, Financial Analysis, Equities
Education
City University of New York-Brooklyn College
Political Science
VTHS
VTHS
VTHs
Vere. Tech
Vere. Tech
LPL Financial April 2012 - Present
Stonebridge Financial Advisors April 2011 - April 2012
EF Hutton January 1984 - October 1987
Merrill Lynch January 1982 - January 1984
Education
The College of William and Mary 1977 — 1981
Bachelor of Arts, Economics
Fairleigh Dickinson University 2009 — 2010
Certificate in Financial Planning
Miss Porter's School 1975 — 1977
Beryl Investment Group, LLC April 2007 - Present
The PRICE Futures Group, Inc. October 2002 - Present
Wachovia Securities/Wells Fargo December 2000 - June 2001
Prudential Financial September 1994 - December 2000
Smith Barney July 1992 - September 1994
Member of the New York Merc & the Coffee, Cocoa & Sugar Exchanges February 1985 - July 1992
EF Hutton July 1976 - February 1985
Sunshine Mining Co. May 1970 - July 1976
Rafkind & Co. July 1963 - May 1970
Education
Boston University
Bachelor of Science (BS), Operations Management and Finance
Great Neck South High School
Depasquale salon systems June 1996 - Present
Four star beauty products April 1995 - May 1996
BPI beauty products February 1992 - March 1995
Gamzon brother's January 1989 - December 1991
EF Hutton March 1985 - September 1988
Skills
Sales, Sales Management, Customer Service, Beauty Industry, Cosmetics, Fashion, Social Media Marketing, Marketing, Merchandising, Marketing Strategy, Strategic Planning, Retail, Hair Care
Education
Borough of Manhattan Community College
Nash Global Media, LLC March 1989 - Present
MSO Capital, LLC 1985 - 1989
DuCameron & Wells 1982 - 1985
Shearson American Express 1981 - 1982
EF Hutton 1975 - 1981
Swiss General Assurance Co 1970 - 1974
Skills
Investor Relations, Venture Capital, Marketing Strategy, Marketing, Financial Markets, Marketing Communications, Trading, Entrepreneurship, Portfolio Management, Start-ups, Strategic Financial..., Mergers & Acquisitions, Investments, IPO, Finance, Treasury, Hedge Funds, Management, Financial Planning, Investment Management, Investor Relations..., Financial Relations
Education
Baruch College, City University of New York (CUNY) 1963 — 1975
BA, MBA, Ph.D., Financial & Investor Relations/Behavioral Finance
Baruch College 1963 — 1971
BBA, MBA, Ph.D., Finance/Investments/Behavioral Finance
CES INTERIORS LLC 2004 - Present
Various Production Companies in the Greater New York Area 2004 - Present
Coastal Farm Properties 2006 - Present
Lehman Brothers January 1988 - June 2002
EF Hutton December 1984 - January 1988
Education
New York School of Interior Design 2003 — 2006
Associate of Arts (A.A.)
Boston University - School of Management 1980 — 1984
Bachelor of Science in Business Administration
Westfield High School, Westfield NJ July 2008 - Present
Montclair High School February 1993 - June 2008
EF Hutton September 1987 - July 1989
Skills
Curriculum Design, Educational Leadership, Training Delivery, Desire2Learn, Curriculum Development, University Teaching, Early Childhood..., Publishing, iPad, Staff Development, Educational Technology, Teacher Training, Classroom, Instructional Technology, K-12
Education
Mount Union College 1983 — 1987
BA, Finance, General
Montclair State University
Master's degree, Educational Leadership and Administration, General
Jim Barlow Advisors & Cetera Advisor Networks LLC 2001 - Present
Financial Industry Regulatory Authority 2011 - Present
The Church of Jesus Christ of Latter-day Saints July 2014 - Present
Weber State University 1999 - 2012
Clearfield City 1998 - 2006
Brigham Young University 1987 - 2002
Zions Investments Securities Inc. 1988 - 2001
EF Hutton 1985 - 1988
Skills
Asset Allocation, Investment Management, Investment Advisory..., Retirement Planning, Life Insurance, Certified Financial..., Strategic Financial..., Investment Strategies, Financial Advisory, Mutual Funds, Securities, Fixed Income, Disability Insurance, Investments, Fixed Annuities, Long-term Care, Financial Services, IRAs, Personal Financial..., Investment Advisory, 401k, Retirement, Insurance, Hedge Funds, Pensions, FINRA, Strategy, Financial Planners, Wealth Management, Equities, Series 7, Bonds, Separately Managed..., Variable Annuities, 401k Rollovers, REIT, Qualified Retirement..., Wealth Accumulation, 529 Plans, Defined Benefit, Retirement Plan..., Wealth Management..., High Net Worth..., Series 24, Asset Management, Portfolio Management, Alternative Investments, Wealth
Education
Brigham Young University 1969 — 1975
Bachelor of Science (B.S.), Marketing
College for Financial Planning
Master of Science (M.S.), Financial Planning and Services
Dendera Capital LP June 2015 - Present
GreensLedge November 2012 - Present
Edgewood Capital Advisors January 2011 - Present
Murray & Burnaman LLC September 2009 - December 2012
California Coastal Communities June 1998 - February 2011
NewStar Financial March 2004 - December 2007
ING February 1994 - March 2004
Citicorp June 1990 - February 1994
Financial Security Assurance 1986 - 1989
EF Hutton 1983 - 1986
Skills
Real Estate, Structured Finance, Construction, Equity Valuation, Investment Banking, Investments, Finance, Capital Markets, Valuation, Trading, Securities, Fixed Income, Financial Structuring, Hedge Funds, Restructuring, Strategy, Asset Management, Bankruptcy, Bonds, Leveraged Finance, Portfolio Management, Emerging Markets, Structured Products, Mergers & Acquisitions, Real Estate Economics, Financial Services
Education
New York University - Leonard N. Stern School of Business 1983 — 1985
MBA
Harvard University 1977 — 1981
AB
Phillips Academy 1974 — 1977
Diploma
U.S. Government Accountability Office May 2014 - Present
Deloitte Consulting May 2009 - May 2014
BearingPoint Consulting December 2007 - April 2009
U.S. Government Accountability Office September 2001 - November 2007
PricewaterhouseCoopers Consulting Practice July 1999 - September 2001
Coopers and Lybrand August 1997 - July 1999
Maxwell School of Citizenship, Executive Education Programs 1994 - 1997
Equitable Investment Management Corporation May 1985 - June 1987
EF Hutton 1985 - 1986
Skills
Government, Public Policy, Management Consulting, Organizational..., Change Management, Personnel Management, Strategy, Program Evaluation, Human Capital, Analysis, Policy Analysis, Survey Design, Instructional Design, Federal Government, Business Process..., Business Transformation, Program Management, Performance Management, Governance, Consulting, Organizational Design
Education
Syracuse University - Maxwell School of Citizenship and Public Affairs 1989 — 1997
Ph.D., Public Administration
Cornell University 1980 — 1984
B.S., Public Policy
Joe Keating Agency Inc. December 1999 - Present
Filter Equipment Company November 2008 - April 2011
Filter Equipment Co., Inc November 2008 - April 2011
Advanced Filtration Company January 1997 - November 2008
Lavino Shipping Agencies, Inc. January 1982 - December 1993
EF Hutton 1978 - 1979
Skills
New Business Development, Networking, Sales Management, Sales, International Sales, Filtration, International Business, Selling, Contract Negotiation, Business Development, Marketing, Management, B2B, Account Management, Direct Sales, CRM, Negotiation, Manufacturing, Cross-functional Team..., Product Development, Marketing Strategy, Engineering, Strategy, Sales Process, Leadership, Sales Operations, Competitive Analysis, Key Account Management, Pricing, Team Management, Product Management, Business Planning, P&L Management, Product Marketing, Start-ups, Strategic Partnerships, Business Strategy, Solution Selling, Market Analysis, Market Planning, Lead Generation, Channel Partners, Forecasting, Marketing Management, Team Building, Market Development, Executive Management, Sales Presentations
Education
Burlington County College, Pemberton, NJ 2011 — 2012
Certificate in Health Information Technology, Healthcare
City University of New York-Brooklyn College 1974 — 1978
BA, Marketing/Sales
UBS Financial Service January 2005 - Present
AB November 2001 - December 2004
Lincoln Financial Group August 1996 - November 2001
Lincoln Financial Distributors 1996 - 2001
PaineWebber February 1990 - August 1996
Dean Witter Reynolds Inc. January 1988 - February 1990
EF Hutton June 1985 - January 1988
Education
Florida Southern College 1980 — 1984
Bachelor of Science, Finance, Marketing, and Economics
Barclays April 2010 - Present
Goldman Sachs January 2005 - January 2009
Bear Stearns May 2001 - October 2002
Prudential Securities April 1983 - May 2000
EF Hutton April 1978 - April 1983
Skills
Risk Management, Financial Services, Asset Management, Mutual Funds, Financial Risk, Banking, Investment Advisory, Investment Banking, Insurance, Asset Allocation, Program Management, Investment Management, Policy, Retirement Planning, Securities, Capital Markets, Hedge Funds, FINRA, Equities, AML, Derivatives, Asset Managment, Series 7, Fixed Income
Education
Boston University School of Law
JD
Occidental College
BA, English, Chemistry
Tilkin Group April 2006 - Present
SunGard January 2005 - June 2006
Protegent Inc. January 2000 - January 2005
Wachovia Securities March 1997 - March 2000
Smith Barney January 1984 - March 1997
EF Hutton October 1979 - January 1984
Skills
Securities, Financial Services, FINRA, Securities Regulation, Risk Management, Arbitration, Capital Markets, Litigation, Litigation Support, Expert Witness, Investments, Securities Litigation, Financial Risk, Mutual Funds, Dispute Resolution, Investment Advisory, Fraud, Private Placements, Portfolio Management, Equities, Fixed Income, Options, Series 7, Corporate Governance, Internal Investigations, Compliance, ETFs, Suitability, Sales Practices, Fixed Annuities, RIA, Variable Annuities, Asset Allocation, Broker-Dealer Compliance, Broker-Dealer, Bonds, Series 63, SEC, Alternative Dispute..., Due Diligence, Financial Regulation, Hedge Funds, Securities Arbitration, Supervison, JAMS, Forensics, Risk, Annuities, REITS
Education
Antioch University 1972 — 1977
BA, Community Organization
Brandeis University, Heller - The Heller School for Social Policy and Management 1980 — 1981
MA, Management
IMEX Global Solutions LLC March 2013 - Present
Pitney Bowes May 2010 - March 2013
Bleuchip International July 2006 - May 2010
International Bonded Couriers, Inc. February 2003 - July 2006
Reed Business Information 1988 - 2003
EF Hutton 1985 - 1988
Skills
Publishing, International Mail, Circulation, Production, Printing, Salesforce.com, Microsoft Excel, Customer Service, Solution Selling, Technology, Sales, CRM, B2B, Sales Operations, Magazines, Cold Calling, Presentations, Financial Analysis, Fulfillment Services, Trade Shows, Sales Management, Sales Process, Competitive Analysis, Account Management, Direct Marketing, Lead Generation, Customer Retention, New Business Development, Customer Acquisition, Forecasting, Direct Mail, P&L Management, Email Marketing, Customer Satisfaction, Database Marketing, Advertising Sales, Selling, Strategic Partnerships, B2B Marketing, Print Management, Telemarketing, Multi-channel Marketing, Online Advertising, Variable Data Printing, Offset Printing, Integrated Marketing, Online Marketing, Digital Printing, Print On Demand
Education
Baruch College
Kenyon & Kenyon LLP April 1999 - January 2015
Standard Weisberg March 1992 - January 1999
Lilly Sullivan Purcell Barkan & Junge March 1988 - February 1992
EF Hutton March 1983 - February 1988
EF Hutton March 1980 - April 1983
Education
City University of New York-Brooklyn College
Erasmus Hall High School
Wells Fargo Advisors February 1999 - Present
Prudential Securities August 1988 - February 1999
Bear Stearns December 1987 - August 1988
EF Hutton March 1984 - December 1987
Skills
Retirement, Investments, Financial Advisory, Mutual Funds, Asset Allocation, Investment Strategies, Finance, Securities, Retirement Planning, IRAs
Education
Montclair State University 1979 — 1981
Bachelor of Science (B.S.), Finance
Toms River High School North
UBS Wealth Management September 2000 - Present
Prudential Financial May 1994 - May 2000
Dean Witter Reynolds Inc. May 1988 - May 1994
EF Hutton May 1983 - May 1988
Merrill Lynch September 1979 - June 1983
Skills
Wealth Management, Asset Allocation, Investment Advisory, Asset Management, Retirement Planning, Separately Managed..., Personal Financial..., Former Professional...
Education
Monmouth University 1972 — 1976
BA, Psychology, Business
Long Branch High School
GreerWalker Wealth Management January 2003 - Present
Donaldson, Lufkin & Jenrette 1989 - 1994
Salomon Brothers 1987 - 1989
Johnson, Lane & co. 1984 - 1987
EF Hutton 1982 - 1984
Skills
Financial Analysis, Wealth Management, Mutual Funds, Relationship Management, New Business Development, Multi-generational..., Portfolio Management
Education
Oglethorpe University 1978 — 1982
Business
Rycraft Law Firm, PLLC 2012 - Present
Gordon & Silver, Ltd. 2010 - 2012
Fennemore Craig 2009 - 2010
The Rycraft Law Office, PC 2007 - 2009
Peel Brimley LLP 2001 - 2007
Zurich North America 1998 - 2001
Scottsdale Insurance Company 1996 - 1998
TIG Excess & Surplus Lines, Inc. 1995 - 1996
Bank of America 1990 - 1992
EF Hutton 1985 - 1990
Skills
Construction Law, Litigation, Personal Injury, Business Litigation, Dispute, Licensing, Torts, Intellectual Property, Breach Of Contract, Wrongful Death, Liability, Criminal Law, Criminal Defense, Claim, Civil Litigation, Trial Practice, Commercial Litigation, Legal Writing, Trusts, Corporate Law, Bankruptcy, Appeals, Automobile Accidents, Business Formation, Litigation Support, Mediation, Real Estate, Trials, Trade Secrets, Business Transactions, Arbitration, Employment Law, Accident, Insurance, Alternative Dispute..., Courts, Legal Research, Corporate Governance, Product Liability, Public Liability, Depositions, Legal Assistance, Dispute Resolution, Personal Injury..., Class Actions, Insurance Law, Contract Negotiation, Property Law
Education
Gonzaga University School of Law 1992 — 1995
Juris Doctor (J.D.), Law
California State Polytechnic University-Pomona 1987 — 1989
Master of Business Administration (M.B.A.), Finance
California State University-Fullerton, Mihaylo College of Business and Economics 1980 — 1983
Bachelor's Degree, Business Administration and Management, General
Foothill Securities, Inc. 2006 - Present
Financial Services Industry September 2011 - September 2015
Merrill Lynch 2002 - 2006
Winderstick Consulting 1993 - 2002
Paine Webber 1987 - 1993
EF Hutton 1983 - 1987
Digital Equipment Corporation 1981 - 1983
General Mills, INC 1977 - 1981
Skills
Business Development, Investments, Executive Management, Financial Services, Strategic Financial..., Strategic Planning, Sales, Portfolio Management, Business Planning, Risk Management, Public Speaking
Education
Bentley University 1975 — 1977
BS, Accounting
Central Connecticut State University 1973 — 1975
bs, Accounting /Business
World Metal, LLC December 1998 - Present
Ingraham & Co., Inc. March 1991 - November 1998
EF Hutton August 1986 - March 1991
Skills
Leadership, Strategic Planning, Management, Contract Negotiation
Education
Baylor University - Hankamer School of Business 1983 — 1986
Bachelor's degree, Business Administration and Management, General
AXA US May 2014 - Present
AXA Equitable October 1998 - Present
Colonial Life March 1995 - August 1997
Morgan Stanley Smith Barney January 1991 - March 1995
EF Hutton 1984 - 1991
Skills
Customer Service, Series 6, Customer Experience, Insurance, Mutual Funds, Financial Services, Call Center, Quality Monitoring, Life, Accident, Health,..., Microsoft Excel, Call Centers, Leadership, Life Insurance, Coaching, Customer Satisfaction, Team Building
Education
Midlands Technical College
Newberry High School
Newberry High School
Mobil Service/Retail March 2012 - January 2015
Citi March 2005 - February 2012
Citi December 2000 - March 2005
Chase December 1999 - December 2000
US Securities and Futures Corp March 1996 - December 1999
Lloyd Stevens & Company March 1995 - March 1996
BAC Partners January 1993 - March 1995
EF Hutton 1985 - 1988
Skills
Customer Service, Retail Management, Business Banker, Cash Management, Wall Street/futures..., Commercial Lending, Credit
Education
Iona College 1981 — 1985
Bachelor of Business Administration (BBA), Business Administration and Management, General
ReiznersWay.com August 2006 - Present
Self January 1981 - Present
EF Hutton 1976 - 1977
Skills
Equities, Market Research, Investments, Financial Markets, Analysis, Trading, Finance, Business Strategy, Sales Management, Team Building, Blogging, Marketing, Business Development, Strategy, Public Speaking, Financial Modeling, Entrepreneurship, Economics, Project Management, Technical Analysis, Online Marketing, Telecommunications, Social Media Marketing, Management, Financial Advisory, E-commerce, Marketing Strategy, Financial Analysis, Strategic Planning, Equity Research
Education
Vassar College 1969 — 1973
Columbia University in the City of New York
CIC Wealth March 2010 - Present
Curian Capital 2007 - 2010
Allianz 2005 - 2007
Genworth Financial 2002 - 2005
OppenheimerFunds 1988 - 2000
Colonial Funds 1986 - 1988
Putnam Investments 1984 - 1985
EF Hutton 1981 - 1984
Merrill Lynch 1979 - 1981
Skills
Fixed Annuities, Certified Financial..., Wealth Management, Retirement Planning, Asset Managment, Investment Advisory, Series 7, Series 63, Personal Financial..., Asset Allocation
Education
Colgate University 1976 — 1979
BA, History
Georgetown University 2009 — 2010
Certificate in Financial Planning
Tulane University 1975 — 1976
Freshman Year, Liberal Arts
Deerfield Academy 1971 — 1975
High School Diploma
Capital One August 2014 - Present
USAA October 2011 - August 2014
USAA December 2009 - September 2011
US Fiduciary 2007 - 2009
Smith Barney 1994 - 2007
Shearson Lehman 1988 - 1994
EF Hutton May 1987 - December 1988
Skills
Business Development, Mutual Funds, Financial Advisory, Fixed Annuities, Financial Services, Strategic Planning, Wealth Management, Investment Advisory, Asset Allocation, Series 7, Retirement Planning, Strategic Financial..., Investments, Series 63, Securities, Series 65, Alternative Investments, Asset Managment, Investment Strategies, Series 24, Series 8, Portfolio Management, Investment Management, Estate Planning, ETFs, Certified Financial..., Personal Financial..., Asset Management, Fixed Income, Personal Finance, Equities, Financial Planners, Insurance, FINRA, Financial Analysis, Retirement, Uniform Combined State..., Wealth Management..., Private Banking, Risk Management, Leadership, Wealth, 401k, Bonds, High Net Worth..., Hedge Funds, Life Insurance, Options, IRAs, Relationship Management
Education
University of the Incarnate Word 2012 — 2014
Business Administration and Management, General
Sewanee-The University of the South 2006 — 2010
Certification, Education for Ministry
The American College 2005 — 2006
ChFC, Chartered Financial Consutant
Rice University 2004 — 2005
Certified Financial Planning, CFP
California State Polytechnic University-Pomona
Management Science Business Law
Grand Canyon University July 2009 - Present
The Presidential Prayer Team national ministry June 2009 - March 2010
New Iron Media July 2006 - July 2009
Crosswalk.com, Inc (NASDAQ symbol AMEN) July 1998 - August 2002
Institute for American Values 1996 - 1998
EF Hutton 1983 - 1996
Idaho House of Representatives 1980 - 1981
Skills
Faith-market expertise, New Business Development, Driving Revenue, New Media Strategy, Speaking Engagements, Media Interviews, Writing, Developing New Revenue..., Interviews, Non-profits, Blogging, Leadership, Public Speaking, Marketing, Social Media Marketing, Publishing, Strategic Planning, Strategy, Fundraising, Event Planning, Editing, Research, Start-ups, Entrepreneurship, Event Management, Leadership Development, Music, Nonprofits, Business Development, Media Relations, Social Media, Public Relations, Higher Education, Sales
Education
Grand Canyon University 2013 — 2016
Doctor of Education (EdD), Organizational Leadership with an Emphasis in Christian Ministry
Grand Canyon University 2011 — 2012
Master's of Science, Leadership - Ken Blanchard School of Business, 3.95
University of Houston-Clear Lake 1980 — 1982
Master's in Finance, Finance - not completed
University of Idaho 1976 — 1980
Bachelor of Science, Economics and Political Science - Double Major
Raymond James Financial Inc. 2006 - Present
Morgan Stanley 1994 - 2006
Kemper Securities 1992 - 1994
E.F Hutton 1983 - 1992
Skills
Customer Service, Management, Strategy, Portfolio Management, Finance, Financial Advisory, Retirement Planning, Wealth Management, Securities, Mutual Funds, Investment Advisory, Investments, Asset Allocation
Education
Millikin University
Bachelor's Degree, Accounting
Tullett Prebon April 1989 - Present
County Natwest LLC 1988 - 1989
EF Hutton 1985 - 1988
Prudential Bache Securities 1981 - 1985
Skills
Financial Markets, Bond Markets, Bloomberg, Repo Bonds, Trading, Brokers
Education
Adelphi University 1978 — 1981
Bachelor of Business Administration (B.B.A.), Marketing and Finance
BNY Mellon May 2011 - November 2013
Janus 1998 - 2010
Wells Capital Management 1996 - 1998
Wells Fargo Bank 1990 - 1996
The Chase Manhattan Bank 1989 - 1990
EF Hutton 1986 - 1988
Skills
Portfolio Management, Alternative Investments, Mutual Funds, Asset Allocation, Investment Management, Hedge Funds, Investments, Wealth Management, Investment Strategies, Series 7, Securities, Fixed Income, Asset Managment, Equities, Series 63
Education
Middlebury College 1981 — 1985
BA, Biology/Psychology
Mitchell Martin Inc. June 2015 - Present
TSR Consulting Services March 2012 - June 2015
IT Staffing solutions December 2009 - March 2012
IT Staffing Solutions @ Mitchell Martin 2010 - February 2012
IT Staffing Solutions @ Princeton Information 2009 - 2010
Open Systems Technologies 2001 - 2009
Clark Davis Associates 1993 - 2000
E.F Hutton 1985 - 1992
Skills
Recruiting, Staffing Services, Capital Markets, Risk Management, Temporary Staffing, Electronic Trading, Prime Brokerage, ITIL, SOA, SDLC, Middle Office, Account Management, PMO, Software Project..., Project Portfolio..., Agile Methodologies, Market Risk, FX trading, Strategy, AML, Web Services, VAR, Operational Risk, Trading Systems, Application Security, Credit Risk, Fixed Income, Calypso, Application Architecture, KYC, PHP, Securities Lending, Front Office, Front-end, Career Counseling, Career Development, Standards and..., AGILE, iOS, Andriod, Experienced Business..., Municipal Bonds, Equities Technology, Fixed Income Technology, Actimize, Career Strategist, Murex, Talent Acquisition, Vendor Management, Management
Education
Fairleigh Dickinson University
BS, Economics and Finance
Keller Williams Real Estate January 2013 - Present
Jesup & Lamont 2005 - 2008
Ryan Beck & Co. 2001 - 2003
Southeast Research Partners 1992 - 2001
Furman Selz & Co. 1986 - 1989
EF Hutton 1980 - 1986
Skills
Investment Properties, Real Estate, Short Sales, Management, First Time Home Buyers, Condos, Investors, Investments, REO, Real Estate Transactions, Negotiation, Asset Management, Strategic Planning, Single Family Homes, Selling, Contract Negotiation, Sales, Marketing
Education
Georgetown University 1975 — 1979
Bachelor of Science (BS), Marketing
Canterbury School 1972 — 1975
holy cross
Baritz & Colman LLP May 1996 - Present
Clinicorp, Inc. January 1995 - May 1996
Boose, Casey, Ciklen, Martens April 1993 - January 1995
Fowler White Burnett January 1993 - March 1993
Ehrlich Bober & Company, Inc. January 1988 - July 1991
EF Hutton 1981 - 1987
Skills
Securities Law, Securities Litigation, Securities Regulation, Securities Arbitration, Employment Litigation, Employment Contracts, Arbitration, Class Actions, Civil Litigation, Corporate Law, Fraud, Commercial Litigation, Securities, Corporate Governance, Bankruptcy, Employment Law, Litigation, Dispute Resolution, Trade Secrets, FINRA, Legal Research, Mediation, Privacy Law, Alternative Dispute..., Business Litigation, Legal Advice, Licensing, Appeals, Courts, Intellectual Property, Banking Law, Product Liability, Insurance Law
Education
Brooklyn Law School 1980 — 1983
University of Rochester 1976 — 1980
B.A., Political Science/Psychology
J.P. Morgan May 2015 - Present
EisnerAmper LLP April 2013 - April 2015
EisnerAmper LLP February 2012 - February 2015
Morgan Stanley 2013 - 2014
BlackRock Financial Management February 2004 - February 2012
BlackRock 2004 - 2012
JPMorgan Chase 1986 - 2004
EF Hutton 1983 - 1986
Skills
Risk Assessment, Operational Risk..., Operational Risk, Compliance, Corporate Governance, Business Ethics, Account Reconciliation, Risk Management, AML, Risk Mitigation, Risk Analysis, Anti-money Laundering, Operational Efficiency, Compliance Management, Forensic Analysis, Financial Reporting, Forensic Accounting, Financial Analysis, Historical Trend..., Operational Efficacy, Securities Fraud, UAT, Asset Management, Private Equity, Corporate Actions, Certified Anti-Money..., Auditing, Internal Controls, Sarbanes-Oxley Act, Banking, Hedge Funds, Finance, Portfolio Management, Investments, Anti Money Laundering
Education
SUNY Oswego 1977 — 1981
BA, PreLaw
New York Institute of Technology-Old Westbury
Post Graduate Courses - Labor and Industrial Relations
BGM International 2011 - Present
NBG Corp 2006 - 2011
Noble Onie dba National Capital (NATC) 1998 - 2005
Manhattan Group 1994 - 1998
Wedbush Securities 1992 - 1994
AG Edwards 1990 - 1992
Lehman Brothers 1988 - 1990
Drexel Burnham Lambert 1986 - 1988
EF Hutton 1983 - 1986
Skills
Investment Banking, Equities, Trading, Finance, Capital, Mergers & Acquisitions, Venture Capital, Investments, Private Equity, Investor Relations, Due Diligence, Start-ups, Entrepreneurship, Strategic Planning, Corporate Finance, Private Placements, Hedge Funds, Capital Markets, IPO, New Business Development
Education
Concordia University-Irvine
Master's degree
Fountain Valley High School
University of Southern California
Bachelor of Business Administration (BBA)
National University
Master's Degree
Substantial Financial August 2012 - Present
Bremer Investment Services April 2011 - August 2012
Merrill Lynch July 2005 - April 2011
Colorado College July 1999 - June 2005
Dartmouth College July 1989 - June 1999
EF Hutton July 1983 - June 1989
Skills
Strategic Financial..., Investments, Alternative Investments, 401k, Financial Modeling, Investment Advisory, Wealth Management, Retirement Planning, Asset Managment, Corporate Finance, Risk Management, Wealth, Investment Strategies, Securities, Public Speaking, Nonprofits, Finance, Fundraising
Education
College for Financial Planning 2007 — 2007
CRPC, Chartered Retirement Planning Counselor
Plymouth State University 1991 — 1994
MBA, Finance
College for Financial Planning 1986 — 1988
CFP, Financial Planning
Dartmouth College 1973 — 1977
AB, Earth Science
International Artists July 2002 - Present
Daniels Recital Hall January 2009 - December 2014
Digital Technology International February 1997 - July 2002
Provo Theatre Company September 1995 - March 1998
FranklinCovey November 1996 - February 1997
WordPerfect / Novell / Corel January 1993 - September 1996
Brigham Young University November 1989 - December 1992
Rivella AG June 1989 - September 1989
EF Hutton July 1984 - November 1985
Skills
Film Editing, Video Editing, Film Photography, Typing, Mac Computers, Final Cut Pro, DVD authoring, Office Management, Software Support, Secretarial Skllls, Accounting, Mailroom, Software Archiving, Laser Engraving, English Handbells..., Musician, Computer Hardware, Software Installation, Set Design, Stage Management, Box Office Management, Graphic Design, Website Design, Mac, Software, Management, Photography, Web Design, Video Production, Technical Support, Video, Social Media, Editing, Copy Editing, Film, Television, Post Production, Documentaries, Music
Education
Brigham Young University 1984 — 1992
BA, Humanities
Technical Analysis, Inc. 1999 - February 2013
Greater Seattle RWA 1995 - 2010
Ellora's Cave 2007 - 2009
MyRomanceStory.com 2008 - 2008
Technical Analysis, Inc. October 1989 - June 1999
Knight Ridder Financial News Service December 1988 - October 1989
DC Comics 1988 - 1988
EF Hutton June 1985 - November 1987
Dean Witter Reynolds April 1984 - June 1985
Institutional Investor June 1981 - April 1984
Skills
Books, Creative Writing, Editing, Fiction, Copy Editing, Blogging, Publishing, Web Content, Storytelling, Editorial, Proofreading, Freelance Writing, Social Media, Ebooks, Public Speaking, Publications, Non-fiction, Published Author, Novels, Fiction Writing, Magazines, Content Writing, Ghostwriting, Newsletters, Book Reviews, Short Stories, Creative Writer, Online Publishing, Feature Articles, Manuscript, Content Development, Magazine Articles, Memoir, Rewriting, Creative Non-fiction, Text Editing, Poetry, Journalism, Publicity, Line Editing, Literary Fiction, Grammar, Fact-checking, Science Fiction, Literature, Copywriting, Critique, Book Writing, Content Management, Press Releases
Education
Columbia University 1980 — 1981
Anthropology
University of Washington 1976 — 1980
BA, Anthropology
EMC - Where Information Lives March 2007 - Present
Credit Suisse / First Boston December 1984 - December 2006
EF Hutton 1982 - 1984
District Council 37 1980 - 1982
New York Shipping Association 1978 - 1980
Education
Brooklyn Technical High School
Regents Diploma
City University of New York-College of Staten Island
AAS, Computer Science and Mathematics
CH Energy Group, Inc April 2000 - Present
Marist College 2010 - 2013
Marist College 2010 - 2013
Bank of New York Mellon August 1987 - March 2000
EF Hutton 1985 - 1987
EF Hutton 1985 - 1987
Skills
Risk Management, Fixed Income, Renewable Energy, Mutual Funds, New Business Development, Mergers, Budgets, Leadership, Financial Modeling, Financial Services, Strategic Planning, Investments, Accounting, Corporate Finance, Asset Management, Mergers & Acquisitions, Finance, Financial Analysis, Private Equity, Valuation, Executive Management, Due Diligence, Project Finance, Investor Relations, Portfolio Management, Strategic Financial...
Education
Columbia University - Columbia Business School 1998 — 1999
MBA
Marist College 1981 — 1984
BS, Business/Finance
OLL
Brown Brothers Harriman 2010 - July 2015
Brown Brothers Harriman 2007 - 2010
Brown Brothers Harriman 2003 - 2007
Brown Brothers Harriman 2000 - 2003
Brown Brothers Harriman 1998 - 2000
Morgan Stanley Investment Management July 1991 - March 1998
First Manhattan Company July 1988 - July 1991
Legg Mason Masten February 1987 - July 1988
EF Hutton July 1985 - September 1986
Skills
Equities, Asset Managment, Project Management, Fixed Income, Management, Personnel Management, Connecting People, Conflict Resolution, Asset Management, Trading, Securities, Risk Management, Financial Markets, Financial Services, Bloomberg, Investments, Portfolio Management, Series 7, Human Resources, Bonds, Trading Systems, Investment Management, Market Data, Business Analysis, Vendor Management
Education
Fordham University 1982 — 1986
Bachelor of Science (BS), Finance; Business Eco; Information & Decision Sciences
Cross Country Home Services October 1999 - Present
Cendant Corporation 1990 - 1999
EF Hutton 1980 - 1988
Skills
Leadership, Management, Direct Marketing, Strategic Planning, Marketing Strategy, Lead Generation, Analytics, Customer Retention, Strategy, CRM, Business Development, Team Building, Strategic Partnerships, Product Management, P&L Management, Marketing, Business Strategy, New Business Development, Call Centers, E-commerce, Insurance, Cross-functional Team..., Entrepreneurship, Start-ups, Database Marketing, Customer Experience, Market Research, Email Marketing, Contract Negotiation, Customer Acquisition, Process Improvement, Multi-channel Marketing, Product Development, Customer Satisfaction, Digital Marketing, Executive Management, Direct Sales, Business Planning, Account Management, Segmentation, Team Leadership, Sales Management, Marketing Communications
Education
Harvard Business School 2013 — 2013
Advanced Management Program
New York University - Leonard N. Stern School of Business 1980 — 1986
MBA
Brown University 1976 — 1980
BA
HSBC Private Bank August 2010 - Present
Dreman Value Management January 2004 - May 2009
Citigroup Asset Management August 1991 - June 2003
Citigroup 1998 - 2003
EF Hutton 1983 - 1989
Skills
experience in dividend..., Portfolio Management, Equities, Investments, Valuation, Asset Managment, Investment Banking, Mutual Funds, Asset Management, Investment Strategies, Finance, Analysis, Financial Services, Commodity, Wealth Management, Bonds, Fixed Income, Alternative Investments, Investment Management
Education
Denison University 1975 — 1979
Newark Academy
Enterprise Law Group January 2013 - Present
Enterprise Law Group, LLP 2007 - December 2012
Security Associates International 1997 - 2001
Sachnoff & Weaver, Ltd. 1989 - 1997
Coffield, Ungaretti, Harris & Slavin 1987 - 1988
EF Hutton 1982 - 1984
Skills
Corporate Law, Civil Litigation, Litigation, Commercial Litigation, Securities, Class Actions, Arbitration, Mediation, Appeals, Bankruptcy, Employment..., Trials, Mergers & Acquisitions, Legal Writing, Litigation Management, Competition Law, Corporate Governance, Legal Research, Alternative Dispute..., Dispute Resolution, Personal Injury, Intellectual Property, Trade Secrets, Trial Practice, Insurance Law, Product Liability, Personal Injury..., Licensing, White Collar Criminal..., Venture Capital, Privacy Law, Torts, Securities Litigation, Business Litigation
Education
Northwestern University School of Law 1984 — 1987
Doctor of Law (J.D.)
University of Wisconsin-Milwaukee - Lubar School of Business
MBA, Finance
Consultiva Internacional, Inc. October 1999 - Present
Smith Barney October 1992 - October 1999
EF Hutton October 1983 - October 1992
The Service Bureau Company 1976 - 1981
Skills
Equities, Series 7, Fixed Income, Certified Investment..., Fluent in English and..., Investment Management, Asset Allocation, Economics, Retirement, Finance, Investment Advisory, Alternative Investments, Investment Strategies, Mutual Funds, Asset Management, Financial Analysis, Leadership, Philanthropy, Securities, ETFs, Spanish, Retirement Planning, Fixed Annuities, Private Equity, Wealth Management, Capital Markets, Business Development, Fund Of Funds, Economically Targeted..., ESG - Environmental,..., Options, Financial Markets, Financial Advisory, Bonds, Financial Services, Emerging Markets, Series 63, Trading, Financial Planners, Derivatives, Investment Banking, Venture Capital
Education
City University of New York-Herbert H. Lehman College 1973 — 1974
Master of Arts, Mathematics
University of Puerto Rico 1970 — 1973
Bachelor of Science (BS), Mathematics
Robert W. Baird & Co. April 2015 - Present
UBS 2011 - August 2014
UBS 1995 - 2011
Shearson and Smith Barney January 1991 - December 1995
EF Hutton and Shearson 1987 - December 1990
EF Hutton 1975 - 1987
Skills
Fixed Income, Equities, Wealth Management, Hedge Funds, Investments, Investment Banking, Capital Markets, Sales Management, Business Management...
Education
Georgetown University
Bachelor of Arts (B.A.), Political Science and Government
Nutmeg Securities 1990 - March 2011
Gartner Group/Soundview Technology 1981 - 1989
EF Hutton 1977 - 1979
Paine Webber 1974 - 1977
Skills
Series 63, Research, Trading, Investments, Series 7
Education
Northwestern University 1966 — 1970
BA, Political Science
Ameriprise Financial Services, Inc. April 2009 - Present
Wachovia Securities December 1990 - April 2009
EF Hutton June 1978 - November 1990
Education
Loyola Marymount University 1974 — 1978
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General
TD Ameritrade October 2008 - Present
Morgan Stanley Investment Management January 2003 - October 2007
Morgan Stanley 2001 - 2003
Morgan Stanley 1998 - 2001
Morgan Stanley 1995 - 1999
Dean Witter 1989 - 1995
EF Hutton 1984 - 1989
EF Hutton 1981 - 1984
EF Hutton 1980 - 1981
Skills
Series 63, Alternative Investments, Asset Management, Asset Managment, Change Management, Financial Services, Investments, Marketing, Management, Mutual Funds, Portfolio Management, Relationship Management, Retirement Planning, Securities, Series 24, Series 7, Strategic Planning, Wealth Management
Education
Adelphi University 1978 — 1980
MBA, Finance & Investments
Providence College 1973 — 1977
BS, Business
Bank of America 2006 - Present
Bank of America Merrill Lynch 2006 - Present
Credit Suisse October 1986 - September 2006
EF Hutton 1983 - 1986
Skills
Equities, Equity Derivatives, Settlement, Trading, Securities Lending, Operational Risk..., Capital Markets, Investment Banking, Prime Brokerage, Risk Management, Operational Risk, Alternative Investments, Asset Management, Fixed Income
Education
Fordham Gabelli School of Business 1986 — 1989
M.B.A., Finance/Investment Management
Ithaca College 1979 — 1983
B.S., Finance/Economics
Sun Coffee Roasters January 2008 - Present
Omar Coffee Company January 1990 - December 2007
EF Hutton 1982 - 1990
Education
Harvard Business School 2006 — 2008
OPM37
The University of Connecticut School of Business 1977 — 1981
Pershing Director of Account ManagementLockwood FinancialSeptember 1995 - Present
Pershing Managed Account Solutions 1995 - Present
Smith Barney March 1987 - September 1995
EF Hutton October 1987 - December 1988
Shaw Data October 1980 - June 1986
Shaw Data Services 1980 - 1986
Shaw Data Services, Inc./SunGard 1980 - 1986
Education
Lycoming College 1970 — 1974
EF Hutton 1977 - 1987
Education
Binghamton University 1971 — 1975
bs, Accounting
Self employed September 2007 - Present
Webcraft September 1989 - May 1994
EF Hutton June 1981 - September 1988
Skills
Microsoft Office, Customer Service, Strategic Planning, Microsoft Word
Education
Appalachian State University 1979 — 1981
ADVANTAGE WEALTH MANAGEMENT August 2015 - Present
Capital Asset Management January 1997 - Present
Sonoran Bank NA 2006 - 2012
Financial Securities Groups 1987 - 1997
EF Hutton 1981 - 1987
Skills
Uniform Combined State..., Credit, Relationship Management, Loans, Investments, Mutual Funds, Financial Analysis, Insurance, Marketing, Portfolio Management, Retirement Planning, IRAs, Wealth Management
Education
Thunderbird School of Global Management 1979 — 1981
MBA, Marketing/Finance
Michigan State University 1974 — 1977
BS, Psychology
SIIA October 2013 - Present
Computer Fulfillment 1992 - October 2013
BPA Worldwide 1985 - 1992
EF Hutton 1984 - 1985
Skills
Direct Marketing, Publishing, Sales Management, Integrated Marketing, Social Media Marketing, B2B, Email Marketing, Lead Generation, Marketing Strategy, Digital Media, Customer Service, Online Advertising, Database Marketing, Direct Mail, Sales, Digital Marketing, Marketing, Social Media, CRM, Digital Strategy, Marketing Communications, Web Analytics, Online Marketing
Education
Chestnut Hill College 1980 — 1984
Bachelor of Science (BS), Business Administration and Marketing
The TCW Group September 2014 - Present
VelocityShares September 2009 - September 2014
Coral Bay Capital March 2006 - November 2010
DMR Mortgage Opportunity Fund 2008 - 2010
Bridgewater Associates June 2003 - March 2006
Barclays Capital April 1997 - June 2003
iBoxx Ltd 2000 - 2003
First Boston July 1992 - April 1997
Financial Security Assurance March 1988 - July 1992
EF Hutton May 1984 - March 1988
Skills
Capital Markets, Asset Management, Alternative Investments, Fixed Income, Hedge Funds, Management, Investment Banking, Equities, Structured Products, Investments, Investment Management, Portfolio Management, Derivatives, Asset Managment, Bloomberg, Asset Allocation, Investment Strategies, Risk Management
Education
Columbia University - Columbia Business School 1984 — 1986
MBA, Finance
Union College 1978 — 1982
staples high school
Janney Montgomery Scott March 2009 - Present
Janney Montgomery Scott LLC February 2009 - Present
Legg Mason December 2000 - November 2005
Raymond James Financial August 1996 - December 2000
EF Hutton April 1983 - November 1989
Education
Adelphi University 1978 — 1982
Bachelor of Business Administration (BBA), Marketing
UBS December 1990 - Present
EF Hutton 1978 - 1990
Education
California State University-Chico 1972 — 1974
Oppenheimer & Co. Inc General CounselDH Blair & Co inc1995 - 1998
EF Hutton 1983 - 1986
Kings county District Attorney 1978 - 1983
Education
New York Law School 1976 — 1980
St. Joseph's College 1972 — 1976
BA, English
Banc of America Securities 2005 - Present
Computer Horizons 2004 - 2005
Credit Suisse First Boston 1994 - 2003
Credit Suisse 1994 - 2003
Furman Selz Inc 1991 - 1994
First Albany Capital 1987 - 1989
EF Hutton 1980 - 1987
Education
Columbia University - Columbia Business School 1989 — 1991
MA, Management, Operations, International Business
Yale University 1976 — 1980
BA, Economics, Russian and East European Studies
Standard & Poor's January 1999 - Present
Standard & Poor's January 1995 - December 1999
Standard and Poors January 1988 - December 1994
EF Hutton June 1982 - November 1987
E.F.Hutton September 1980 - June 1982
Skills
Valuation, Business Development, Fixed Income, Securities, Bonds, Investment Banking, CRM, Market Data, Financial Markets, Hedge Funds, Equities, Financial Services, Change Management, Credit, Portfolio Management, Securitization, Financial Modeling, Bloomberg, Alternative Investments, Structured Finance, Capital Markets, Trading, Derivatives, Investments, Mutual Funds, Structured Products, Risk Management, Financial Analysis, Trading Systems, Asset Management, Series 7, P&L Management
Education
Hofstra University 1980 — 1984
MBA, Finance
Manhattan College 1976 — 1980
BS, Management and Accounting
Century World Wide January 2010 - Present
Capital Sources Group, Inc. January 2004 - Present
UBS Wealth Management February 1988 - March 1993
EF Hutton 1984 - 1987
Skills
Real Estate, Investment Properties, Sellers, Investors, Real Estate Transactions, Real Estate Development, REO, Residential Homes, Short Sales, Referrals, Negotiation, Real Estate Economics, Property Management, Investments, Single Family Homes, Brokerage, Entrepreneurship, Contract Negotiation, Foreclosures, Due Diligence, Real Estate Financing, Commercial Real Estate, Selling, Sales, Disposition
Education
Georgia State University - J. Mack Robinson College of Business 1969 — 1971
MBA, Marketing
General Motors Institute 1962 — 1967
BS Mechanical Engineering, Automotive Engineering
Morgan Keegan February 1988 - Present
EF Hutton December 1985 - January 1988
IBJ Schroder Bank and Trust March 1982 - November 1985
Education
New York University 1984 — 1985
evening management courses /no degree
BS Management Engineering 1977 — 1981
Business and Engineering
Anne Guthrie Properties March 1992 - Present
Fidelity Investments January 1990 - March 1995
Smith Barney January 1989 - October 1989
EF Hutton September 1988 - December 1988
Skills
Home Education, Pre-School Sunday..., Makes homemade skin..., Suzuki violin: parent...
Education
The Institute of Biblical International Studies
Bible prophecy, Doctrine and History
Xavier University - School of Business Administration 1991 — 1995
MBA
Miami University 1983 — 1987
BS, Marketing
Sycamore High School 1982 — 1983
Walnut Hills High Schol 1978 — 1981
Sun Coffee Roasters 2008 - Present
Omar Coffee Company 1990 - 2007
Paine Webber 1988 - 1990
EF Hutton 1983 - 1987
Skills
Entrepreneurship, Food, Start-ups, Restaurants, New Business Development, Business Planning, Strategic Planning, Product Development, Business Strategy, Franchising, Food Service, Sales Management, Food & Beverage, Income Statement, Venture Capital, Retail, Business Development, Team Building, Profit, Mergers, Leadership, Pricing, P&L, P&L Management, Mergers & Acquisitions, Market Planning, Executive Management, Strategy, Forecasting
Education
Harvard Business School 2006 — 2008
The University of Connecticut School of Business 1977 — 1981
BS, Finance
NYSE Regulation September 2015 - Present
TYJS Group LLC January 2010 - August 2015
The Options Clearing Corporation April 2005 - October 2008
American Stock Exchange March 1995 - October 2008
New York Institute of Finance January 1981 - April 1997
Kidder Peabody May 1983 - February 1995
EF Hutton 1980 - 1983
Skills
Options, ETFs, Derivatives, Compliance, Executive Management, Market Structure, Electronic Trading, Trading Systems, Expert Witness, Trading, Equities, Financial Markets, Securities, Proprietary Trading, Volatility, FINRA, Equity Trading, Trading Strategies, Alternative Investments, Investments, Hedge Funds, Market Data, Equity Derivatives, Capital Markets, Series 24, Hedging
Education
Fordham University 1971 — 1975
BA, Economics
Nirvana Analytics June 2008 - Present
KeyBank 2003 - 2008
McDonald & Company Investments 1993 - 2003
EF Hutton 1986 - 1990
Skills
Alternative Investments, Asset Management, Debt Structuring, Asset Managment, Portfolio Management, Investments, Debt Restructuring, Trading, Finance, Fixed Income, Investment Banking, Risk Management, Derivatives, Mergers & Acquisitions, Investment Management, Financial Markets, Asset Allocation, Equities
Education
Columbia University in the City of New York
Bachelors, Economics
Shaker Heights
Progressive Insurance December 2013 - December 2014
Killer Whale Tales 2006 - 2014
CoreFirst Bank & Trust November 2008 - November 2010
MBNA 1998 - 2005
EF Hutton 1983 - 1991
Skills
Banking, Customer Service, Accounting, Insurance, Sales, Telecommunications...
Education
Metropolitan State University of Denver
Associates, Education
BNP Paribas November 2010 - Present
ING Financial Markets January 2010 - October 2010
FINRA January 2008 - August 2009
Nomura Securities Intl 1994 - 2008
Salomon Brothers 1989 - 1994
Salomon Brothers 1987 - 1989
EF Hutton 1985 - 1987
Education
Bryant University 1980 — 1984
BS, Finance
Bank of America November 2013 - July 2014
J.P. Morgan February 2012 - December 2012
Wells Fargo July 2009 - February 2012
JPMorgan September 1995 - May 2009
U.S. Trust August 1987 - September 1995
EF Hutton September 1983 - August 1987
Skills
Excel, Visio, Word, PowerPoint, DTC, Microsoft Excel, VBA, CRM, Banking, Fixed Income, Analysis, Access, Business Analysis, Bloomberg
Education
Kingsborough Community College 1981 — 1983
A.A.S, Accounting
NYU Continuing Education
LAN Administration, Adult and Continuing Education and Teaching
Evercore Partners Managing DirectorCredit Suisse1993 - 2007
EF Hutton 1985 - 1987
Skills
Venture Capital, Mergers & Acquisitions, Private Equity, Corporate Development, Valuation, Capital Markets, Due Diligence, Investment Banking, Private Placements, LBO, Mergers, Financial Modeling, Hedge Funds, IPO, Investor Relations
Education
Harvard Business School 1983 — 1985
MBA
Ecole centrale de Lyon 1978 — 1981
Diplome d'Ingenieur
UBS Financial Services, Inc. January 2013 - Present
Smith Barney May 1991 - January 2013
Smith Barney, EF Hutton 1979 - 2008
EF Hutton 1979 - 1988
Education
California State Polytechnic University-Pomona 1975 — 1979
B.S., Business Admin
Robert W. Baird & Co. January 2012 - Present
Baird Private Wealth Management April 2008 - Present
Robert W. Baird April 2008 - December 2012
Smith Barney April 1985 - April 2008
EF Hutton April 1983 - March 1985
Skills
Financial Planning, Investments, Retirement Planning, Estate Planning, Asset Management, Strategic Financial..., Series 7, Asset Managment, Wealth Management, Mutual Funds, Wealth, Retirement, Investment Strategies, Finance, FINRA, Asset Allocation, 401k, Series 63, Financial Advisory, Portfolio Management, Series 24, Leadership, Banking, Investment Advisory, Securities, Alternative Investments, Uniform Combined State...
Education
US Army Command & General Staff College 1989 — 1990
Graduate, Strategy & Military Science
Marquette University 1974 — 1975
English Language and Literature/Letters, Graduate School
St. Norbert College 1967 — 1974
Bachelor of Arts, English
Saint George High School 1963 — 1967
College Prep
US Army Adjutant General Officer Basic
US Army Adjutant General Officer Basic
Montego Ventures LLC March 2008 - Present
Paine Webber October 1989 - October 1995
EF Hutton March 1980 - October 1989
Education
Baldwin Wallace University 1967 — 1971
BA, Business
ThinkSheet, Inc. January 1993 - Present
Privatization International January 1989 - March 1991
EF Hutton 1987 - 1987
Deutsch Kerrigan & Stiles 1980 - 1986
Skills
Venture Capital, Mergers, Start-ups, Private Equity, Commercial Litigation, Entrepreneurship, Due Diligence, Civil Litigation, Business Development, Real Estate, Public Speaking, E-commerce, Business Strategy, Strategic Planning, Investments
Education
Tulane University Law School 1969 — 1972
LLB, Law
Dartmouth College 1964 — 1968
BA, English
HSBC Private Bank November 2010 - Present
Impact Investments, LLC May 2009 - February 2012
Merrill Lynch August 2004 - May 2009
Lehman Brothers 1989 - 1994
EF Hutton 1986 - 1987
Skills
Asset Allocation, Investment Strategies, Series 7, Equities, Investments, Alternative Investments, Asset Management, Banking, Bloomberg, Bonds, Derivatives, Capital Markets, Emerging Markets, Equity Research, Financial Markets, Financial Modeling, Financial Services, Fixed Income, Hedge Funds, High Net Worth..., Investment Advisory, Investment Banking, Portfolio Management, Private Banking, Private Equity, Structured Products, Valuation, Investment Management, Mutual Funds, Securities, Series 63, Trading, Options, Wealth Management, Wealth Management..., Alternative Investment...
Education
Long Island University, C.W. Post Campus
BS, Economics
The Corcoran Group April 2015 - Present
Munireach LLC 2000 - 2014
M. R. Beal & Co 1992 - 1997
Prudential Capital Funding 1984 - 1988
Paine Webber 1982 - 1986
EF Hutton 1973 - 1982
Skills
Equities, Investments, Hedge Funds, Asset Management, Securities, Trading, Investment Banking, Alternative Investments, Series 7, Capital Markets, Private Equity, Fixed Income, Real Estate, Real Estate Financing, Real Estate Transactions, Real Estate License, Sales
Education
Georgetown University
Stepinac High School
Citigroup SVP - Audit & Risk ReviewCitibank2010 - Present
Citicorp Investment Services 2003 - 2009
American Stock Exchange 1999 - 2003
First Albany 1994 - 1999
NY Coffee, Sugar & Cocoa Exchange 1989 - 1994
Shearson Lehman Hutton 1988 - 1989
EF Hutton 1976 - 1987
Education
Baruch College, City University of New York (CUNY) 1972 — 1976
BBA, Marketing Management
Equitable Trust February 2004 - Present
Suntrust Equitable Securities July 1988 - August 2003
EF Hutton January 1985 - July 1988
clayton brokerage company July 1979 - October 1984
Skills
SEC reporting, Series 7, Compliance, SEC filings, Investments, Portfolio Management, Asset Management, Wealth Management, Valuation, Equities, Series 63, Asset Allocation, Hedge Funds, Investment Strategies, Fixed Income, Estate Planning
Education
Augustana College 1975 — 1979
BA, Business & Psychology
Janney Montgomery Scott November 2005 - Present
Lebenthal July 2004 - November 2005
UBS/Paine Webber May 1989 - July 2004
UBS 1989 - 2004
EF Hutton August 1980 - May 1989
Skills
Series 7, Series 63, Wealth Management, Mutual Funds, Retirement Planning, Series 65, Series 24, Fixed Annuities, Retirement, Estate Planning, Investments, Securities, Asset Allocation, Financial Services
Education
Securities Investor Institute 1991 — 1993
Hofstra University 1973 — 1975
BBA, Management
Robert W. Baird & Co. May 2013 - Present
MorganStanleySmithBarney 2009 - 2011
Smith Barney March 2001 - October 2008
EF Hutton April 1983 - November 1989
Skills
Series 63, Series 7, Alternative Investments, Wealth Management, Retirement Planning, FINRA, Wealth Management..., Mutual Funds, Asset Allocation, Investments, Investment Advisory, Investment Strategies, Series 65, Series 24, Securities, Financial Advisory, ETFs, Uniform Combined State..., Asset Management, Investment Management, Equities, Strategic Financial..., Portfolio Management, 401k, Financial Services, Estate Planning, Retirement
Education
Northwestern University - Kellogg School of Management 1983 — 1986
Masters, Business
University of Illinois at Urbana-Champaign - College of Business 1977 — 1981
BS, Finance, Economics
Guildford High School 1974 — 1977
Rockford Guilford 1974 — 1977
High School
AIG Retirement Services June 1989 - Present
VALIC June 1989 - Present
EF Hutton 1985 - 1986
EF Hutton 1985 - 1986
Skills
Investments, Retirement Planning, Series 7, Mutual Funds, Retirement, Wealth Management, Strategic Financial..., Series 63, Asset Allocation, Investment Advisory, Securities, Fixed Annuities, 401k, IRAs, Investment Strategies
Education
California State University-Sacramento 1981 — 1986
BS, Finance
arbishop mitty high school
Yardeni Research, Inc. January 2007 - Present
Oak Associates, ltd. September 2004 - December 2006
Prudential Financial April 2002 - August 2004
Deutsche Bank April 1999 - March 2002
Deutsche Bank September 1995 - March 1999
CJ Lawrence (now Deustche Bank Securities) April 1991 - September 1995
Prudential-Bache Securities November 1982 - March 1991
EF Hutton January 1978 - October 1982
Federal Reserve Bank of New York July 1976 - December 1977
Skills
Investments, Investment Management, Fixed Income, Asset Management, Equities, Portfolio Management, Asset Allocation, Alternative Investments, Hedge Funds, Investment Strategies, Economics, Series 7, Mergers & Acquisitions, Asset Managment, Valuation, Capital Markets, Wealth Management, Securities, Mutual Funds, Private Banking, Financial Modeling
Education
Yale University 1972 — 1976
Doctor of Philosophy (PhD), Economics
Cornell University 1968 — 1972
Bachelor's degree, Economics
Janney Montgomery Scott January 2009 - Present
Smith Barney February 2006 - January 2009
Legg Mason April 1996 - February 2006
Paine Webber October 1986 - April 1996
EF Hutton December 1984 - October 1986
Skills
Wealth Management, Retirement, Financial Analysis, Asset Allocation, Investment Management
Education
DeSales University 1968 — 1972
BA
Mainstream Investors LLC October 2012 - Present
Smith Barney (most recently, Morgan Stanley Smith Barney) September 1982 - January 2010
EF Hutton September 1982 - February 1988
Dean Witter Reynolds November 1979 - September 1982
Skills
Risk Management, Sales Management, Recruiting, People Skills, Energy, Business Strategy, Investments, Sales Process, P&L Responsibility, Full P&L Responsibility, Performance Management, Oil/Gas, Small Business, Training, Coaching, Asset Allocation, Relationship Management, Leadership, Wealth Management, Executive Management, Management, Alternative Investments, Portfolio Management, Investment Advisory, Retirement, Investment Management, Investment Strategies, FINRA, Equities, Wealth Management..., Wealth, Sales, Consulting, Private Equity, Investor Relations, Strategy, Strategic Leadership, P, Oil, Strategic Planning, Petroleum
Education
Minot State University 1976 — 1979
Environmental Science/Pre-Med
Northern Burlington County Regional HS 1969 — 1973
HS Diploma, college prep
Bluefield College
Biology, General
CIT Group Inc. February 2002 - Present
Merrill Lynch 1991 - 2001
Marine Midland Bank 1989 - 1991
Drexel Burnham Lambert 1986 - 1989
EF Hutton 1983 - 1986
Skills
Financial Modeling, Hyperion Enterprise, Cash Management, Restructuring, Accounting, Mergers, Forecasting, Financial Accounting, Income Statement, Financial Analysis, Budgets, Corporate Finance, Outsourcing, Strategic Financial...
Education
New York University - Leonard N. Stern School of Business 1986 — 1989
MBA, Finance and International Business
Ithaca College 1978 — 1982
BS, Finance and Management
RBC Royal Bank September 2001 - Present
tucker anthony inc October 1992 - September 2001
PaineWebber 1988 - 1992
EF Hutton September 1983 - January 1988
new york county district attorney's office January 1982 - August 1983
Skills
Corporate Law, Mutual Funds, Due Diligence, Privacy Law, Securities Regulation, Employment Law, Legal Advice, Trusts, Litigation, Securities, Commercial Litigation, AML, FINRA, Mediation, Class Actions, Licensing, Investment Management, Civil Litigation, Financial Regulation, Alternative Investments, Dispute Resolution, Legal Writing, Hedge Funds, Joint Ventures, Legal Research, Private Equity, Arbitration, Broker-Dealer, OFAC, Prime Brokerage, Intellectual Property, Mergers & Acquisitions, Fraud, Estate Planning
Education
New York Law School 1981 — 1985
jd
UBS Financial Services, Inc. April 2007 - Present
Smith Barney March 1988 - April 2007
E.F Hutton August 1985 - March 1988
Education
UW-Milwaukee 1968 — 1973
Bachelor of Science, Finance
Marquette University
MBA studies
Historic Rowayton 2000 - Present
Doubleday Dell Publishing 1984 - 1988
EF Hutton 1981 - 1984
Private Concerns, Inc. 1979 - 1983
Skills
Non-profits, Fundraising, Public Speaking, Research, Editing, Grant Writing, Social Media, Program Development, Microsoft Word, Proofreading, Strategic Planning, Nonprofits, Event Management, Public Relations, Event Planning, History, Newsletters, Budgets, Microsoft Office, Marketing, PowerPoint, Copywriting, Community Outreach, Social Networking, Social Media Marketing, Adobe Creative Suite, Leadership, Teaching, Art, Publishing, Advertising, Press Releases, Marketing Strategy, Creative Writing, Photography, Blogging, Leadership Development, Marketing Communications, Annual Fund, Museums
Education
Hamilton College 1975 — 1979
BA
Milton Park Partners January 2015 - Present
CoventryOne January 2013 - Present
Premier Financial Alliance September 2008 - Present
Turner Wealth Managment December 2001 - Present
Bear Stearns December 2000 - November 2003
EF Hutton December 1980 - June 1982
Merrill Lynch December 1979 - December 1980
Skills
Budgets, Leadership, Public Relations, Customer Service, Team Building, Strategic Planning, Financial Analysis, Leadership Development, Financial Reporting, Research, Life Insurance, Insurance, Finance, Sales, Program Management, Fixed Annuities
Education
Bowling Green State University 1978 — 1979
Accounting
Lakeland Community College 1975 — 1978
associates, Business
Anthony Medici February 2014 - Present
UPS September 1988 - January 2014
EF Hutton 1986 - 1988
Virginia Tech 1984 - 1985
United States Air Force 1982 - 1984
Skills
Nature Photography, Glamour Photography, Beauty Photographer, Digital Image Processing, Lightroom, Photoshop, Image Manipulation, Studio Lighting, Portrait Photography, Studio Photography, Oracle SQL Developer, Oracle PL/SQL..., Disaster Recovery, Database Design, Data Modeling, Enterprise Architecture, C Programming Language, Oracle, Troubleshooting, Weblogic, Photographers, Data Architecture, XML, HTML, VMware, Data Warehousing, Photography, Programming, Commercial Photography, Travel Photography, Fine Art Photography
Education
Virginia Polytechnic Institute and State University 1977 — 1982
Computer Science
County College of Morris 1976 — 1977
Montville High School 1973 — 1976
High School Diploma, General Studies
GoIndustry DoveBid 2005 - 2010
GE Capital 1997 - 2001
Sun Microsystems 1997 - 1998
Tucker Anthony 1984 - 1996
Shawmut Corporation 1984 - 1996
EF Hutton 1978 - 1984
Skills
Executive Management, Finance, Business Acquisition, Acquisition Integration
Education
Merrimack College
Greg A. Smith Consulting January 2001 - Present
EF Hutton January 1977 - August 1981
Goldman Sachs April 1969 - July 1977
Skills
Strategic Thinking, Critical Thinking, Time Management, Organizational..., Leadership, Team Leadership, Public Speaking, Strategic Planning, Mergers & Acquisitions, Asset Management, Investments, Social Media, Marketing Strategy, Portfolio Management
Education
Columbia University - Fu Foundation School of Engineering and Applied Science 1970 — 1971
Masters, Applied Math
University of Tulsa 1964 — 1967
Bachelor of Science, Applied Math
St Gabriel Catholic Church August 2001 - Present
JRO Associates January 1987 - May 1993
EF Hutton July 1978 - January 1987
Skills
Management, Recruiting, Fundraising, Volunteer Management, Education, Team Building, Youth Ministry, Social Justice, Adult Education
Education
Georgian Court University 1971 — 1975
BA, English Language and Literature, General
Felician College
Masters, Religious Education
SPM&Associates 1994 - 2010
Advest, Inc. 1991 - 1994
EF Hutton 1984 - 1991
Skills
Finance, Investments, Portfolio Management, Equities, Fixed Income, Asset Management, Financial Modeling, Financial Analysis, Wealth Management, Hedge Funds, Derivatives, Bloomberg, Valuation
Education
CFA Instutute 1992 — 1996
Chartered Financial Analyst Designation (CFA), Portfolio Management and Finance
Cornell University
BS, Mgmt & Economics
Citi March 1983 - March 2008
EF Hutton 1980 - 1983
Skills
Retirement, Municipalities, Fixed Income, Capital Markets, Series 7, Series 63, Bonds, Securities, Financial Services
Education
Monmouth University
MBA, Finance
Manhattan College 1967 — 1971
BS, Economics & Marketing
China Resnaissance Securities US Inc. November 2013 - Present
Exotix USA Inc November 2012 - Present
David Landau & Associates, LLC February 2012 - January 2013
Numis Securities Inc September 2007 - December 2010
Macquarie Group July 2000 - 2007
Credit Lyonnais Securities 1995 - 2000
EF Hutton 1982 - 1988
Skills
Series 7, Series 63, Series 24, Series 14, Series 9/10, SEC, Investments, Fixed Income, Private Placements, FINRA, Corporate Law, Broker-Dealer
Education
Adelphi University 1982 — 1982
Lawyer's Assistant Certificate with Honors, Corporate Law
CW Post University
Master of Art, Fine Arts
Queens College
Master of Science, Education/Science
Ovid Capital Advisors January 2013 - October 2014
Christofferson Robb & Company April 2003 - March 2012
Bear Stearns April 1998 - April 2003
Vice President January 1997 - January 1998
Lehman Brothers 1991 - 1995
Bain & Company 1989 - 1991
Prudential Bache 1988 - 1990
E.F Hutton 1985 - 1988
Skills
Fixed Income, Structured Finance, Derivatives, Valuation, Capital Markets, ABS, Venture Capital, Investment Banking, Private Equity, Structured Products, Financial Structuring, Trading, Alternative Investments, Emerging Markets, Asset Management, Hedge Funds, Investments, Portfolio Management, Equities, Risk Management, Securities, Financial Risk, Banking, Management, Credit Risk
Education
smithtown hs east
General Assembly 2015 — 2015
Certificate in Data Science, Data Science
Cornell University 1980 — 1984
Bachelor of Science, Physics
NYU 1992 — 1992
Lineage Capital March 2003 - Present
Heritage Partners 1994 - 2003
BancBoston Capital 1991 - 1993
Integrated Acquisition 1986 - 1988
EF Hutton 1985 - 1986
Education
Dartmouth College - The Tuck School of Business at Dartmouth 1987 — 1990
MBA
Dartmouth College 1981 — 1985
BA, Economics / Computer Science
St. Ignatius Loyola School September 2007 - Present
PaineWebber September 1988 - July 1993
EF Hutton December 1983 - June 1988
Education
Pace University - Lubin School of Business 1983 — 1986
MBA, Economics/Finance
College of Mount Saint Vincent 1978 — 1982
BA, Foreign Languages/Business
Everbank, EFHutton, First Boston,Continental Bank September 1969 - Present
EF Hutton January 1980 - July 1987
First Boston Corporation January 1975 - January 1980
Skills
Investment Banking, Valuation, Corporate Finance, Equities, Capital Markets, Financial Analysis, Derivatives, Fixed Income, Risk Management, Private Equity
Education
Miami University 1964 — 1969
bs, mba, finance economics
none
Fare Restaurant Group,llc. August 2013 - Present
Sickel Capital Management 1993 - 2013
EF Hutton 1986 - 1993
American Savings & Loan 1983 - 1986
The Bistro, defunct 1978 - 1979
Education
American Graduate School of Management 1982 — 1984
Masters of International Management (MIM), Business Administration and Management, General
University of California, Santa Barbara 1978 — 1980
Bachelor's degree, French Language and Literature
University of Bordeaux, France 1976 — 1977
Certificate of Studies, French Language and Literature, Swedish
University of Poitiers, France 1976 — 1976
Language Orientation, French
Southeast Investments, N.C., Inc July 1997 - Present
Robert Thomas Securities July 1990 - July 1997
A.G. Edwards July 1988 - July 1990
J.C. Bradford July 1980 - July 1988
EF Hutton January 1978 - July 1980
Merrill lynch January 1971 - 1978
Oldsmbile Division of General Mtors July 1965 - August 1969
U.S. Navy April 1960 - April 1964
Skills
Retirement Planning, Financial Services, Management, Accounting, Portfolio Management, Alternative Investments, Equities, Asset Management, Investments, Wealth Management, Entrepreneurship, Human Resources, Securities, Financial Analysis, Executive Management, Retirement, Mutual Funds
Education
Michigan State University 1965 — 1969
Bachelor of Science (BS), Social Sciences
ROCK HILL HIGH SCHOOL
HIGH SCHOOL EDUCATION, General Studies
RBC Capital Markets April 2009 - Present
Credit Suisse 1992 - 2008
Triangle Industries 1987 - 1992
EF Hutton 1986 - 1987
Skills
Investment Banking, Fixed Income, Equities, Derivatives, Hedge Funds, Valuation, Trading Systems, Private Equity, Structured Products, Electronic Trading, Equity Derivatives
Education
New York University 1985 — 1987
Master of Business Administration (MBA), Accounting and Finance
The Johns Hopkins University 1979 — 1983
Bachelor's Degree, Political Science and Government
UBS Financial Sevices Inc. April 1997 - Present
Prudential Financial December 1987 - April 1997
EF Hutton February 1984 - December 1987
Education
Niagara University 1980 — 1983
Bachelor of Commerce (B.Com.), Business/Managerial Economics
LaSalle High School 1974 — 1978
Jefferies LLC April 2009 - Present
DEPFA First Albany 2007 - 2009
First Albany Capital 1988 - 2007
EF Hutton November 1979 - January 1988
Skills
Investment Banking, Securities, Municipalities, Capital Markets, Fixed Income, Valuation, Structured Products, Financial Modeling, Investments
Education
Georgetown University 1975 — 1979
BA, American Government
Self-employed January 1983 - Present
ef hutton January 1979 - January 1983
Skills
Marketing, Sales Management, Advertising, Account Management, Marketing Strategy, Online Advertising, Online Marketing, Social Media Marketing, Email Marketing, SEO, Direct Marketing, Customer Service, Public Speaking, Strategic Planning, Microsoft Office, Social Media, New Business Development
Education
Baruch College, City University of New York (CUNY) 1986 — 1996
Bachelor of Business Administration (B.B.A.), Business, Management, Marketing, and Related Support Services, 3.4
Kenyon & Kenyon April 1999 - January 2015
Standard Weisberg March 1992 - January 1999
Lilly Sullivan Purcell Barkan & Junge March 1988 - February 1992
EF Hutton March 1983 - February 1988
EF Hutton March 1983 - February 1988
Education
City University of New York-Brooklyn College
Erasmus Hall High School
Eastman Kodak Company November 2000 - May 2007
HoneyBaked Ham June 1999 - September 2000
Kraft Foods August 1996 - May 1998
National Westminster Bank USA February 1989 - July 1994
Shearson Lehman Hutton January 1988 - December 1988
EF Hutton August 1987 - December 1987
Skills
Financial Planning, Financial Analysis, Financial Modeling, Financial Reporting, Financial Accounting, Commercial Banking, Investment Banking, Cross-functional Team..., Interpersonal Leadership
Education
Northwestern University 1994 — 1996
Master of Business Administration (MBA), Finance, Accounting and Marketing
Cornell University 1983 — 1987
Bachelor's degree, Business Administration and Management, General