Gruntal & Co., LLC
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Gruntal & Co., LLC Employees
Global Association of Risk Professionals July 2007 - Present
Appel Graphics 1992 - 2010
Ryan Beck & Co., Inc. May 2002 - July 2007
Gruntal & Co., LLC June 1996 - May 2002
Skills
CSS, Dreamweaver, HTML, QuarkXPress, Graphic Design, InDesign, Corporate Branding, Web Design, Mac, Direct Mail, Image Editing, Adobe Acrobat, Creative Direction, Layout, Pre-press, Adobe Creative Suite, Brochures, Logo Design
Education
University of Hartford 1979 — 1983
BFA, Advertising Design
Mother Seton Regional 1975 — 1979
The Carlyle Group July 2010 - Present
Broker/dealer and asset manager based in Greenwich, CT May 2010 - July 2010
Deutsche Bank Securities October 2002 - November 2009
Ryan Beck & Co. (purchased assets of Gruntal & Co.) March 2002 - October 2002
Gruntal & Co., LLC January 1999 - February 2002
Education
American University Washington College of Law 1989 — 1992
Juris Doctor
Brandeis University 1985 — 1989
BA, Cum Laude, English and Psychology
BTG Pactual January 2013 - Present
Equator, LLC December 2006 - December 2012
Madison Trading, LLC April 2004 - December 2006
Preferred Empire Mortgage April 2003 - March 2004
Brean Murray, Carret & Co. May 2002 - March 2003
Gruntal & Co., LLC January 1999 - February 2002
Donaldson, Lufkin & Jenrette September 1997 - August 1998
AEA Investors LP March 1994 - August 1997
Spielman Koenigsberg & Parker, LLP September 1991 - April 1994
Education
New York University - Leonard N. Stern School of Business 1996 — 1998
MBA, Finance
University at Albany, SUNY 1987 — 1991
Bachelor of Arts, Accounting
wind2share September 2012 - Present
Windmills Capital Inc. August 2008 - Present
UBS May 2006 - July 2008
Wachovia Securities Inc. December 2003 - May 2006
Prudential Securities Ltd. January 1997 - December 2003
Gruntal & Co., LLC December 1995 - February 1997
DESPUNTA September 1991 - December 1995
SC Johnson January 1987 - August 1989
Skills
Social Media, Investments, Pensions, Social Entrepreneurship, Portfolio Management, Mergers & Acquisitions, Hedge Funds, Business Development, Entrepreneurship, Alternative Investments, Capital Markets, Wealth Management, Emerging Markets, Venture Capital, Asset Management, Corporate Finance, Finance, Leadership, Private Equity, Financial Analysis, Securities, Due Diligence, Management Consulting, Business Strategy, Business Planning, Strategy, Start-ups, Valuation
Education
Wharton School, University of Pennsylvania 2006 — 2006
CIMA
Universidad Metropolitana (VE) 1982 — 1986
BA, Management
Linedata June 2014 - Present
Fidelity Investments October 2011 - June 2014
Fidelity Investments October 2005 - April 2010
Raymond James & Associates June 2003 - October 2005
Advest, Inc September 2002 - June 2003
Gruntal & Co., LLC May 2000 - August 2001
Fahnestock & Co January 1999 - May 2000
Waterhouse Securities May 1998 - December 1998
Fidelity Investments January 1996 - May 1998
Education
New England College 1991 — 1994
Bachelor of Arts Degree, Business Administration
New England College 1991 — 1994
BA, Business Administration
MassMutual Financial Group November 2013 - Present
Our Lady Queen of Martyrs 2009 - 2014
Mutual of Omaha October 2011 - October 2013
Metropolis Financial a Division of MetLife January 2009 - July 2011
New England Financial December 2006 - December 2008
Metropolitan Life Insurance Company 2005 - 2006
Allstate Financial 2003 - 2005
Gruntal & Co., LLC January 1999 - September 2002
Chase Insurance Agency 1998 - 1999
The Guardian Life Insurance Co. of America 1995 - 1998
Skills
Financial Planning, Estate Planning, Insurance, Disability Insurance, Long Term Care, Small Business, Succession Planning, Employee Benefits, Term Life Insurance, Retirement, Insurance Planning, Property & Casualty..., Whole Life, Annuities, Fixed Annuities, Long-term Care, 401k, Strategic Financial..., Financial Planners, 401k Rollovers, Recruiting, Training, Retirement Planning, Critical Illness, IRAs, Underwriting, Life Insurance, Sales, Permanent Life Insurance, Licensed Life & Health..., College Savings Plans, FINRA, Series 6, Universal Life, Variable Annuities, Financial Services, Long Term Care Insurance, Series 63, Life & Health Insurance...
Education
School of Visual Arts 1966 — 1967
Alexander Hamilton High School 1964 — 1966
OSG Billing April 2013 - Present
Strategic Products and Services 2011 - 2012
Verizon Business 2010 - 2011
Velankani Information Systems CareerBridge CO-OP 2009 - 2010
Independent Consultant 2009 - 2010
Carousel Industries 2007 - 2008
JP Morgan 1999 - 2006
Best Foods Ltd 1998 - 1999
Gruntal & Co., LLC 1995 - 1998
Skills
Project Management, Project Delivery, Customer Service, Customer Satisfaction, Remote Troubleshooting, Vendor Management, Cross-functional Team..., Program Management, Management, PMP, Business Analysis, VoIP, Change Management, Telecommunications, SDLC, Business Intelligence, CRM, Call Centers, Disaster Recovery, IT Strategy, Integration, Leadership, Managed Services, PMO, Product Management
Education
Tel Aviv University
Montclair State University
BA
Las Comp Technical 2009 — 2010
Technical Master Certification Project Management
Right at Home Westchester, NY March 2014 - Present
Quad Capital March 2012 - October 2013
First New York Securities April 2008 - October 2011
RBC January 2007 - March 2008
Alpine Securities, LLC February 2006 - December 2006
First New York Securities, LLC February 1998 - January 2006
Gruntal & Co., LLC July 1997 - January 1998
Skills
Trading, Equities, Derivatives, Options, Portfolio Management, Equity Trading, Risk Management, Trading Systems, Compliance, Investment Strategies, Hedge Funds, Equity Derivatives, Commodities, Proprietary Trading, Technical Analysis, Capital Markets, Trading Strategies, Equity Research, Asset Management, Financial Analysis, Home Care, Elder Care, Seniors, Rehabilitation, Healthcare, Healthcare Management, Patient Advocacy, Long-term Care, Hospice, Companion Care, Case Managment, CNAS, Palliative Care, Independent Living
Education
Cornell University 1993 — 1997
Bachelor of Science
Regis High School 1993 — 1997
Morgan Stanley Wealth Management August 2002 - Present
Gruntal & Co., LLC October 1985 - August 2002
Herzfeld & Stern November 1983 - October 1985
Skills
Asset Allocation, Commercial Real Estate, Customer Service
Education
Ithaca College 1978 — 1982
BS
Abington High School 1975 — 1978
National Association of Women Lawyers July 2014 - Present
Prudential Financial 2008 - April 2014
Guardian Life Insurance 1999 - 2008
Park Avenue Securities 1999 - 2008
Gruntal & Co., LLC 1997 - 1999
US Securities & Exchange Commission September 1992 - December 1996
Skills
Securities Regulation, Financial Services, Securities, FINRA, Hedge Funds, Capital Markets, Corporate Governance, Investment Advisory, Mutual Funds, Corporate Law, Broker-Dealer, Legal Compliance, Legal Research, Litigation, Insurance, Investments, Insurance Law, Due Diligence, ERISA, Mediation, Joint Ventures, Financial Regulation, Mergers & Acquisitions, Equities, FCPA, Licensing, Privacy Law, Series 7, Litigation Management, Employment Law, Series 24, OFAC, Arbitration, Alternative Investments, Risk Management, AML, Commercial Litigation, Private Equity, Asset Management, SEC
Education
Cornell University
The George Washington University Law School
JD
Greenberg Traurig June 2004 - Present
Gruntal & Co., LLC September 2001 - May 2004
Gruntal & Co., LLC 1999 - September 2001
Gruntal & Co, LLC June 1994 - 1999
Loeb & Loeb LLP September 1991 - May 1994
Gaston & Snow March 1988 - September 1991
Wachtell, Lipton, Rosen & Katz September 1983 - March 1988
Skills
Securities Regulation, Securities Litigation, Arbitration, FINRA, SEC, Litigation, Mediation, Class Actions, Broker-Dealer, Business Litigation, Internal Investigations, Commercial Litigation
Education
Harvard Law School 1980 — 1983
J.D.
University of Pennsylvania 1976 — 1980
BA, History
First Cornerstone Bank June 2013 - Present
Eisele Wealth Management Consulting June 2011 - May 2013
Wells Fargo 2008 - 2011
Millenium Wealth Management and Private Banking 2004 - 2008
Harleysville National Bank 2004 - 2007
Bank of America 2002 - 2004
Gruntal & Co., LLC 1999 - 2002
Sutro & Co. (Tucker Anthony Sutro) 1995 - 1999
Prudential Securities 1987 - 1995
Prudential Securities 1984 - 1987
Skills
Marketing, Product Development, Market Analysis, Investment Advisory..., Investments, Asset Managment, Portfolio Management, Retirement Planning, Strategic Financial..., Asset Allocation
Education
University of Pennsylvania - The Wharton School 1996 — 1998
Certificate, Securities Industry Institute
University of California, Los Angeles 1962 — 1964
BA, Political Science - International Relations
Lubiner & Schmidt, LLC October 2010 - Present
Alonso, Andalkar, Toro, Facher & MacAvoy, P.C. July 2008 - June 2012
Merrill Lynch 2003 - 2008
Datek Online Holdings Inc. / TD Ameritrade July 1999 - April 2003
Lubiner & Schmidt October 1998 - July 1999
Gruntal & Co., LLC June 1994 - October 1998
Shearson Lehman Brothers Inc. October 1977 - June 1994
Smith Barney Shearson 1993 - 1994
Skills
Litigation, Compliance, Securities, SEC reporting, FINRA, Contract Negotiation, Arbitration, Mediation, Legal Research, Corporate Governance, Corporate Law, Securities Regulation, Risk Management, Investment Banking, Due Diligence, Financial Services, SEC filings, Series 24, Licensing, Capital Markets, Securities Litigation, Asset Management, Legal Compliance, AML, Mutual Funds, Commercial Litigation, Equities, Fraud, Series 7, SEC, Investments, Alternative Investments, Hedge Funds, Prime Brokerage, Derivatives, Financial Regulation, Options, Insurance, Investment Advisory, OFAC, Mergers & Acquisitions, Fixed Income, Private Equity, ETFs, USA PATRIOT Act
Education
Pace University School of Law 1977 — 1980
JD, Securities, Corporate Law
Rutgers, The State University of New Jersey-Newark 1976 — 1977
Finance
City University of New York City College 1971 — 1976
BS, History, Political Science
Paychex August 2009 - Present
Paychex December 2007 - August 2009
Paychex August 2005 - December 2007
Paychex September 2004 - August 2005
SPSS July 2003 - August 2004
SPSS December 2001 - July 2003
NetGenesis April 2001 - December 2001
Benchmark Assisted Living December 2000 - April 2001
Razorfish April 1999 - December 2000
Gruntal & Co., LLC January 1996 - March 1999
Skills
Forecasting, Financial Reporting, Budgeting, Accounting, Financial Analysis, Financial Modeling, Excel, Strategic Planning, Business Strategy, Process Improvement, Financial Management, Analytics, Cost Reduction, Pricing, General Ledger, Business Planning, Analysis, Access, Word, Marketing Strategy, Revenue Recognition, Business Analysis, Business Objects, Microsoft Office, Financial Planning, Data Analysis, Planning, Internal Controls, Budgets, Variance Analysis, Managerial Finance, Microsoft Excel
Education
Northeastern University 1996 — 1999
BS, Finance
Citi August 2015 - Present
Raymond James Financial March 2003 - July 2015
NexTrade, Inc. 2000 - 2002
Gruntal & Co., LLC 1997 - 1999
US Securities and Exchange Commission 1990 - 1996
Skills
Securities Regulation, FINRA, Financial Services, Securities, Corporate Law, Corporate Governance, Series 7, Litigation, Mutual Funds
Education
The College of William and Mary - Marshall Wythe Law School 1987 — 1990
J.D.
Georgetown University 1980 — 1984
B.S. Foreign Service
TD July 2012 - Present
ING April 2011 - June 2012
Deutsche Bank August 2002 - March 2011
NASD Regulation (FINRA) 2001 - 2002
Gruntal & Co., LLC 1996 - 2000
US Securities and Exchange Commission 1994 - 1996
Davis Polk & Wardwell 1990 - 1994
Skills
Investments, Wealth Management, Asset Managment, Mutual Funds, Securities, AML, Financial Services, Capital Markets, Strategic Financial..., Asset Management, Hedge Funds, FINRA, Fixed Income, Securities Regulation, Equities, Portfolio Management, Risk Management, Wealth Management..., Trading, Investment Management, Banking, Financial Advisory, Derivatives, Insurance
Education
Boston University School of Law 1987 — 1990
J.D., magna cum laude
Ohio Wesleyan University
B.A.
American Express February 2012 - Present
Barclays Capital August 2010 - February 2012
AIG April 2006 - August 2010
NASD (FINRA) March 2004 - April 2006
COMFORCE October 2002 - March 2004
Gruntal & Co., LLC August 1999 - October 2002
Skills
OFAC, Auditing, Fraud, Risk Management, AML, Internal Audit, Internal Controls, Risk Assessment, Securities, Financial Regulation, Forensic Accounting, FINRA, Enterprise Risk..., Financial Analysis, Operational Risk, Financial Risk, Operational Risk..., Anti Money Laundering, Sarbanes-Oxley Act
Education
State University of New York College at Old Westbury
BS, Accounting