Maxim Group, LLC
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Maxim Group, LLC Employees
Employee
Years
Job
Industry
Fredric von Stange Fredric von Stange's Maxim Group, LLC Experience July 2011 - August 2011
Job Business & Systems Integration Analyst at Accenture
Industry Information Technology and Services
Experience
Accenture February 2013 - Present
Boston University School of Management May 2012 - January 2013
Maxim Group LLC July 2011 - August 2011
CS Technology June 2010 - August 2010
Community National Bank May 2009 - August 2009
Skills
Access, Java, Dreamweaver, Microsoft Office, Windows, Microsoft Word, Microsoft Excel, PowerPoint, Photoshop, SQL, HTML, Social Media, Technology, CSS, Data Analysis, Flash, Customer Service, Outlook, Research
Education
Boston University 2008 — 2012
Bachelor of Science in Business Administration, Management Information Systems, Finance
Boston University - School of Management 2008 — 2012
Bachelor of Science in Business Administration
Fudan University 2011 — 2011
Study Abroad Program
Accenture February 2013 - Present
Boston University School of Management May 2012 - January 2013
Maxim Group LLC July 2011 - August 2011
CS Technology June 2010 - August 2010
Community National Bank May 2009 - August 2009
Skills
Access, Java, Dreamweaver, Microsoft Office, Windows, Microsoft Word, Microsoft Excel, PowerPoint, Photoshop, SQL, HTML, Social Media, Technology, CSS, Data Analysis, Flash, Customer Service, Outlook, Research
Education
Boston University 2008 — 2012
Bachelor of Science in Business Administration, Management Information Systems, Finance
Boston University - School of Management 2008 — 2012
Bachelor of Science in Business Administration
Fudan University 2011 — 2011
Study Abroad Program
Calvin T Chan's Maxim Group, LLC Experience December 2005 - May 2007
Job Treasury Capital Markets Manager at American Express
Industry Financial Services
Experience
American Express June 2013 - Present
American Express April 2011 - May 2013
American Express January 2009 - March 2011
Thomson Reuters June 2008 - January 2009
Goldman Sachs December 2007 - January 2008
Bloomberg June 2007 - August 2007
Maxim Group LLC December 2005 - May 2007
Skills
Treasury, Cash Management, Capital Markets, Series 7, Analysis, Financial Analysis, Financial Modeling, Leadership, Fixed Income, Bloomberg, Portfolio Management, Valuation
Education
Binghamton University 2004 — 2008
BSc, Financial Economics
American Express June 2013 - Present
American Express April 2011 - May 2013
American Express January 2009 - March 2011
Thomson Reuters June 2008 - January 2009
Goldman Sachs December 2007 - January 2008
Bloomberg June 2007 - August 2007
Maxim Group LLC December 2005 - May 2007
Skills
Treasury, Cash Management, Capital Markets, Series 7, Analysis, Financial Analysis, Financial Modeling, Leadership, Fixed Income, Bloomberg, Portfolio Management, Valuation
Education
Binghamton University 2004 — 2008
BSc, Financial Economics
Jonathan Wolfson Jonathan Wolfson's Maxim Group, LLC Experience September 2006 - September 2007
Job Software Developer at a Financial Institution
Industry Computer Software
Experience
First Eagle Investment Management October 2007 - Present
Maxim Group, LLC September 2006 - September 2007
Merrill Lynch June 2001 - September 2006
Tallan June 2000 - April 2001
Skills
SQL, SQL Report Writing, RDL, C# 4.0, ASP.NET, ASP.NET AJAX, AJAX Toolkit, Web Development, Microsoft SQL Server, SQL Server Management..., XML, XSD, Console Applications, 24x7, Tortoise SVN, SSRS, C# 2.0/3.5, Visual Studio, OOP, Object Oriented Design, Databases, Database Modeling, Visual Basic, VBA, RSL, LINQ, Email Etiquette, Corporate Etiquette, Planning & Organizing..., Gmail, Google Sites, PowerPoint, Office 2010, Data Synchronization, Infragistics, Genealogy, ComponentOne, Relational Data Modeling, CRM, XSLT, XSL, Charles River IMS, CRD, Upgradation, Technical Writing, Automation Tools, Comments, Documentation Practices, System Testing, Coding Practices
Education
Cornell University 1996 — 2000
BA, Computer Science
First Eagle Investment Management October 2007 - Present
Maxim Group, LLC September 2006 - September 2007
Merrill Lynch June 2001 - September 2006
Tallan June 2000 - April 2001
Skills
SQL, SQL Report Writing, RDL, C# 4.0, ASP.NET, ASP.NET AJAX, AJAX Toolkit, Web Development, Microsoft SQL Server, SQL Server Management..., XML, XSD, Console Applications, 24x7, Tortoise SVN, SSRS, C# 2.0/3.5, Visual Studio, OOP, Object Oriented Design, Databases, Database Modeling, Visual Basic, VBA, RSL, LINQ, Email Etiquette, Corporate Etiquette, Planning & Organizing..., Gmail, Google Sites, PowerPoint, Office 2010, Data Synchronization, Infragistics, Genealogy, ComponentOne, Relational Data Modeling, CRM, XSLT, XSL, Charles River IMS, CRD, Upgradation, Technical Writing, Automation Tools, Comments, Documentation Practices, System Testing, Coding Practices
Education
Cornell University 1996 — 2000
BA, Computer Science
Sarah Tiede's Maxim Group, LLC Experience February 2013 - March 2015
Job Project Manager at BlueMatrix
Industry Financial Services
Experience
Maxim Group LLC February 2013 - March 2015
Alumni Relations at Gustavus Adolphus College September 2008 - May 2012
Media Metrix LLC June 2010 - September 2011
Skills
Research, Advertising, PowerPoint, Digital Media, Microsoft Excel, Microsoft Office, Social Networking, Facebook, Social Media Marketing, Photoshop, Digital Marketing, Illustrator, Graphic Design, Event Planning, Customer Service, Social Media, Marketing, Microsoft Word, English, Windows, HTML, Final Cut Pro, Japanese culture, Media Relations, Time Management, Blogging, Editing
Education
Gustavus Adolphus College 2008 — 2012
Bachelor of Arts (B.A.), Communication, International Relations
関西外国語大学 / Kansai Gaidai University 2011 — 2011
Certificate of Asian Studies Completion, Japanese Studies
Maxim Group LLC February 2013 - March 2015
Alumni Relations at Gustavus Adolphus College September 2008 - May 2012
Media Metrix LLC June 2010 - September 2011
Skills
Research, Advertising, PowerPoint, Digital Media, Microsoft Excel, Microsoft Office, Social Networking, Facebook, Social Media Marketing, Photoshop, Digital Marketing, Illustrator, Graphic Design, Event Planning, Customer Service, Social Media, Marketing, Microsoft Word, English, Windows, HTML, Final Cut Pro, Japanese culture, Media Relations, Time Management, Blogging, Editing
Education
Gustavus Adolphus College 2008 — 2012
Bachelor of Arts (B.A.), Communication, International Relations
関西外国語大学 / Kansai Gaidai University 2011 — 2011
Certificate of Asian Studies Completion, Japanese Studies
Bradley Andersen Bradley Andersen's Maxim Group, LLC Experience May 2014 - August 2014
Job Incoming Investment Banking Analyst at Jefferies LLC
Industry Financial Services
Experience
University Athletic Association, Inc. August 2015 - Present
Jefferies May 2015 - July 2015
Maxim Group, LLC May 2014 - August 2014
Deutsche Post DHL May 2013 - July 2013
Coastal Construction Company May 2012 - August 2012
Skills
Financial Analysis, Financial Modeling, Microsoft Excel, PowerPoint, Microsoft Office, Data Analysis, Research, Public Speaking, Microsoft Word, Analysis
Education
University of Florida
Master of Science (M.Sc.), Finance
University of Florida 2011 — 2015
Bachelor of Science (BS), Finance
University Athletic Association, Inc. August 2015 - Present
Jefferies May 2015 - July 2015
Maxim Group, LLC May 2014 - August 2014
Deutsche Post DHL May 2013 - July 2013
Coastal Construction Company May 2012 - August 2012
Skills
Financial Analysis, Financial Modeling, Microsoft Excel, PowerPoint, Microsoft Office, Data Analysis, Research, Public Speaking, Microsoft Word, Analysis
Education
University of Florida
Master of Science (M.Sc.), Finance
University of Florida 2011 — 2015
Bachelor of Science (BS), Finance
Adam Herits Adam Herits's Maxim Group, LLC Experience August 2008 - February 2012
Job FINRA Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority April 2014 - Present
Boulevard 53 February 2012 - April 2014
Maxim Group LLC August 2008 - February 2012
Heights Partners Inc. June 2004 - August 2008
Heights Partners Inc July 2000 - September 2003
Skills
Microsoft Excel, Microsoft Word, Research, Derivatives, Electronic Trading, Equities, Options, Financial Analysis
Education
Iona College 2000 — 2004
Bachelor of Arts (B.A.), Political Science and Government
Iona College 2000 — 2004
Bachelor of Arts (B.A.), History
Coláiste Mhuire Marino 2002 — 2002
Study Abroad, Irish Studies
Financial Industry Regulatory Authority April 2014 - Present
Boulevard 53 February 2012 - April 2014
Maxim Group LLC August 2008 - February 2012
Heights Partners Inc. June 2004 - August 2008
Heights Partners Inc July 2000 - September 2003
Skills
Microsoft Excel, Microsoft Word, Research, Derivatives, Electronic Trading, Equities, Options, Financial Analysis
Education
Iona College 2000 — 2004
Bachelor of Arts (B.A.), Political Science and Government
Iona College 2000 — 2004
Bachelor of Arts (B.A.), History
Coláiste Mhuire Marino 2002 — 2002
Study Abroad, Irish Studies
Michael Ruggiero, CPA Michael Ruggiero, CPA's Maxim Group, LLC Experience August 2009 - March 2010
Job Senior Manager at O'Connor Davies, LLP
Industry Accounting
Experience
O'Connor Davies, LLP January 2012 - Present
The PrinceRidge Group March 2010 - December 2011
Maxim Group LLC August 2009 - March 2010
GTECH July 2008 - July 2009
KVH Industries Inc. October 2007 - June 2008
Ernst & Young August 2003 - October 2007
Skills
CPA, Corporate Finance, IFRS, SOX 404, SEC Financial Reporting, Nonprofits, Fortune 500, Business Combinations, External Audit, Financial and..., Start-ups
Education
University of Rhode Island 1998 — 2003
Master of Science (M.S.), Accounting
O'Connor Davies, LLP January 2012 - Present
The PrinceRidge Group March 2010 - December 2011
Maxim Group LLC August 2009 - March 2010
GTECH July 2008 - July 2009
KVH Industries Inc. October 2007 - June 2008
Ernst & Young August 2003 - October 2007
Skills
CPA, Corporate Finance, IFRS, SOX 404, SEC Financial Reporting, Nonprofits, Fortune 500, Business Combinations, External Audit, Financial and..., Start-ups
Education
University of Rhode Island 1998 — 2003
Master of Science (M.S.), Accounting
Craig Cooper Craig Cooper's Maxim Group, LLC Experience March 2006 - April 2007
Job Vice President of Operations at Univita Health
Industry Hospital & Health Care
Experience
Univita Health Inc June 2015 - Present
Univita Health Inc December 2014 - June 2015
Woodbridge Ventures September 2013 - December 2014
Bain & Company October 2011 - July 2013
Kasowitz, Benson, Torres & Friedman June 2010 - August 2010
Maxim Group, LLC March 2006 - April 2007
Goldman Sachs May 2003 - March 2006
Skills
Operational Strategy, Strategy, Operational Excellence, Operational Planning, Due Diligence, Valuation, Management, Finance, Financial Modeling, Operational Analysis, Operations Management, Mergers & Acquisitions, Investments, Private Equity, Management Consulting, Strategy Development, Portfolio Management, Financial Analysis, Analysis, Strategic Planning, Business Strategy, Strategic Consulting, Competitive Analysis, Business Planning, Start-ups, Consulting, Change Management, Excel, Research, Business Analysis, Strategic Analysis, Lean Operations, Leadership, Marketing, Sales, Team Building, Marketing Strategy, Process Improvement
Education
Northwestern University - Kellogg School of Management 2009 — 2011
MBA, Management & Strategy, Entrepreneurship & Innovation
Northwestern University School of Law 2008 — 2011
JD, Law
University of Florida - Warrington College of Business Administration 1999 — 2003
BSBA, Finance, Economics
Taravella High School 1995 — 1999
Univita Health Inc June 2015 - Present
Univita Health Inc December 2014 - June 2015
Woodbridge Ventures September 2013 - December 2014
Bain & Company October 2011 - July 2013
Kasowitz, Benson, Torres & Friedman June 2010 - August 2010
Maxim Group, LLC March 2006 - April 2007
Goldman Sachs May 2003 - March 2006
Skills
Operational Strategy, Strategy, Operational Excellence, Operational Planning, Due Diligence, Valuation, Management, Finance, Financial Modeling, Operational Analysis, Operations Management, Mergers & Acquisitions, Investments, Private Equity, Management Consulting, Strategy Development, Portfolio Management, Financial Analysis, Analysis, Strategic Planning, Business Strategy, Strategic Consulting, Competitive Analysis, Business Planning, Start-ups, Consulting, Change Management, Excel, Research, Business Analysis, Strategic Analysis, Lean Operations, Leadership, Marketing, Sales, Team Building, Marketing Strategy, Process Improvement
Education
Northwestern University - Kellogg School of Management 2009 — 2011
MBA, Management & Strategy, Entrepreneurship & Innovation
Northwestern University School of Law 2008 — 2011
JD, Law
University of Florida - Warrington College of Business Administration 1999 — 2003
BSBA, Finance, Economics
Taravella High School 1995 — 1999
Christopher Lightner Christopher Lightner's Maxim Group, LLC Experience June 2012 - August 2012
Job Analyst at Barclays
Industry Financial Services
Experience
Barclays June 2015 - Present
Point72 Asset Management July 2013 - June 2015
Maxim Group LLC June 2012 - August 2012
Education
The Johns Hopkins University 2009 — 2013
Economics
Barclays June 2015 - Present
Point72 Asset Management July 2013 - June 2015
Maxim Group LLC June 2012 - August 2012
Education
The Johns Hopkins University 2009 — 2013
Economics
Brian Vodoklys Brian Vodoklys's Maxim Group, LLC Experience July 2011 - August 2011
Job Business Analyst at Reval
Industry Financial Services
Experience
Reval July 2015 - Present
Ipreo July 2012 - July 2015
Scholastic Intervention Solutions February 2012 - June 2012
Maxim Group, LLC July 2011 - August 2011
UBS Investment Bank May 2011 - July 2011
Skills
Microsoft Office, Outlook, Service Oriented..., SDLC, SQL, Systems Analysis, Business Requirements, WCF Services, Web Analytics, Word, Excel, Website Development, Photoshop, Sage, PowerPoint, Web Design, Social Media, Business Solutions..., Scrum, Agile Methodologies, Agile & Waterfall..., Microsoft Excel, WordPress, Business Analysis, Microsoft Word, Management, Analysis, APIs, Data Analysis, Software Development, Solr
Education
Molloy College 2009 — 2012
Bachelor of Science, Business Management
Reval July 2015 - Present
Ipreo July 2012 - July 2015
Scholastic Intervention Solutions February 2012 - June 2012
Maxim Group, LLC July 2011 - August 2011
UBS Investment Bank May 2011 - July 2011
Skills
Microsoft Office, Outlook, Service Oriented..., SDLC, SQL, Systems Analysis, Business Requirements, WCF Services, Web Analytics, Word, Excel, Website Development, Photoshop, Sage, PowerPoint, Web Design, Social Media, Business Solutions..., Scrum, Agile Methodologies, Agile & Waterfall..., Microsoft Excel, WordPress, Business Analysis, Microsoft Word, Management, Analysis, APIs, Data Analysis, Software Development, Solr
Education
Molloy College 2009 — 2012
Bachelor of Science, Business Management
Brian Field Brian Field's Maxim Group, LLC Experience December 2004 - May 2007
Job VP Pricing, Strategy and Analytics Manager at Citizens Bank
Industry Financial Services
Experience
Citizens Bank June 2015 - Present
GE Capital November 2014 - June 2015
BB&T December 2010 - October 2014
Southern Illinois University - Carbondale June 2007 - January 2010
Maxim Group LLC December 2004 - May 2007
JPMorgan Chase November 1999 - August 2002
Towers Perrin August 1998 - October 1999
Skills
Risk Management, Credit Risk, SAS, Portfolio Optimization, Corporate Credit, Structured Finance, Investment Management, SAS Programming, Statistical Modeling, Analytics, SAS programming, Credit Analysis, Portfolio Management, Quantitative Finance, Financial Risk, Credit, Financial Analysis
Education
Southern Illinois University, Carbondale 2007 — 2010
M.S., Mathematics (with significant coursework in Statistics)
Hattori Foundation's Yamasa Institute - Okazaki-shi, Aichi-Ken 2002 — 2004
Certificate, Japanese Language
Union College 1994 — 1998
B.S., Mathematics
Citizens Bank June 2015 - Present
GE Capital November 2014 - June 2015
BB&T December 2010 - October 2014
Southern Illinois University - Carbondale June 2007 - January 2010
Maxim Group LLC December 2004 - May 2007
JPMorgan Chase November 1999 - August 2002
Towers Perrin August 1998 - October 1999
Skills
Risk Management, Credit Risk, SAS, Portfolio Optimization, Corporate Credit, Structured Finance, Investment Management, SAS Programming, Statistical Modeling, Analytics, SAS programming, Credit Analysis, Portfolio Management, Quantitative Finance, Financial Risk, Credit, Financial Analysis
Education
Southern Illinois University, Carbondale 2007 — 2010
M.S., Mathematics (with significant coursework in Statistics)
Hattori Foundation's Yamasa Institute - Okazaki-shi, Aichi-Ken 2002 — 2004
Certificate, Japanese Language
Union College 1994 — 1998
B.S., Mathematics
James Arsenault James Arsenault's Maxim Group, LLC Experience February 2010 - August 2011
Job Investment Banking Analyst at SunTrust Robinson Humphrey
Industry Financial Services
Experience
SunTrust Robinson Humphrey June 2014 - Present
Goizueta Business School, Emory University August 2011 - May 2014
HSBC Global Banking and Markets June 2013 - August 2013
Readers Beyond Borders October 2011 - October 2012
Fimeris May 2012 - August 2012
Maxim Group LLC February 2010 - August 2011
Paul Bernard & Associates June 2009 - February 2010
Our Lady of Grace Church May 2006 - June 2009
Skills
Finance, Investments, PowerPoint, Microsoft Excel, Bloomberg Terminal, Java, Financial Modeling, Economics, Financial Analysis, Public Speaking, Management
Education
Emory University - Goizueta Business School 2010 — 2014
Bachelor of Business Administration, Finance Concentration; B.S, Applied Mathematics
Regis High School 2006 — 2010
High School Diploma
SunTrust Robinson Humphrey June 2014 - Present
Goizueta Business School, Emory University August 2011 - May 2014
HSBC Global Banking and Markets June 2013 - August 2013
Readers Beyond Borders October 2011 - October 2012
Fimeris May 2012 - August 2012
Maxim Group LLC February 2010 - August 2011
Paul Bernard & Associates June 2009 - February 2010
Our Lady of Grace Church May 2006 - June 2009
Skills
Finance, Investments, PowerPoint, Microsoft Excel, Bloomberg Terminal, Java, Financial Modeling, Economics, Financial Analysis, Public Speaking, Management
Education
Emory University - Goizueta Business School 2010 — 2014
Bachelor of Business Administration, Finance Concentration; B.S, Applied Mathematics
Regis High School 2006 — 2010
High School Diploma
George S. Georgiades's Maxim Group, LLC Experience May 2010 - October 2011
Job Associate Counsel at Garrison Investment Group LP
Industry Law Practice
Experience
Garrison Investment Group LP September 2014 - Present
Ellenoff Grossman & Schole LLP October 2011 - September 2014
Fordham School of Law September 2010 - December 2011
Maxim Group LLC May 2010 - October 2011
Napoli Bern Ripka & Associates LLP April 2009 - May 2010
Skills
Securities Regulation, Private Equity, Private Placements, Corporate Law, Securities, Mergers, Hedge Funds, Venture Capital, IPO, Commercial Litigation, Funding, Equity Research, Investment Banking, FINRA, Fixed Income, Investment Management, Series 7, Financial Services, SEC, Derivatives, Mergers & Acquisitions, Litigation, Equities, Start-ups, Structured Products, Investments, Trading, Corporate Governance, Capital Markets, Due Diligence
Education
Fordham University School of Law 2009 — 2009
LL.M, Banking, Corporate & Finance Law
University of Westminster 2004 — 2007
LL.B, (Hon) Commercial Law
Fordham University 2001 — 2004
Economics
Garrison Investment Group LP September 2014 - Present
Ellenoff Grossman & Schole LLP October 2011 - September 2014
Fordham School of Law September 2010 - December 2011
Maxim Group LLC May 2010 - October 2011
Napoli Bern Ripka & Associates LLP April 2009 - May 2010
Skills
Securities Regulation, Private Equity, Private Placements, Corporate Law, Securities, Mergers, Hedge Funds, Venture Capital, IPO, Commercial Litigation, Funding, Equity Research, Investment Banking, FINRA, Fixed Income, Investment Management, Series 7, Financial Services, SEC, Derivatives, Mergers & Acquisitions, Litigation, Equities, Start-ups, Structured Products, Investments, Trading, Corporate Governance, Capital Markets, Due Diligence
Education
Fordham University School of Law 2009 — 2009
LL.M, Banking, Corporate & Finance Law
University of Westminster 2004 — 2007
LL.B, (Hon) Commercial Law
Fordham University 2001 — 2004
Economics
Graham Gordon's Maxim Group, LLC Experience June 2011 - January 2014
Job Compliance Associate
Industry Marketing and Advertising
Experience
Sidoti & Company, LLC October 2014 - Present
Maxim Group January 2014 - September 2014
Maxim Group LLC June 2011 - January 2014
Maxim Group December 2010 - June 2011
rock paper scissors, inc. May 2009 - April 2010
Skills
Advertising, Marketing Strategy, Event Management, Compliance, Compliance Procedures, Regulatory Submissions, Securities Regulation, Regulatory Analysis, Internal Controls, Internal Audit, Compliance Regulations, SEC filings, Government Filings, FINRA, Surveillance, Procedure Creation, Procedure Review, KYC
Education
Indiana University Bloomington 2005 — 2009
BPA, Policy Analysis
Indiana University Bloomington 2005 — 2009
Sidoti & Company, LLC October 2014 - Present
Maxim Group January 2014 - September 2014
Maxim Group LLC June 2011 - January 2014
Maxim Group December 2010 - June 2011
rock paper scissors, inc. May 2009 - April 2010
Skills
Advertising, Marketing Strategy, Event Management, Compliance, Compliance Procedures, Regulatory Submissions, Securities Regulation, Regulatory Analysis, Internal Controls, Internal Audit, Compliance Regulations, SEC filings, Government Filings, FINRA, Surveillance, Procedure Creation, Procedure Review, KYC
Education
Indiana University Bloomington 2005 — 2009
BPA, Policy Analysis
Indiana University Bloomington 2005 — 2009
Michael Karlic Michael Karlic's Maxim Group, LLC Experience February 2006 - February 2008
Job Managing Director: Fixed Income Trading at Benchmark Securities LLC
Industry Financial Services
Experience
Benchmark Securities LLC November 2013 - Present
Cohen and Company / PrinceRidge May 2010 - October 2013
Maxim Group February 2008 - May 2010
Maxim Group LLC February 2006 - February 2008
Maxim Group LLC February 2004 - February 2006
Maxim Group LLC January 2003 - January 2004
Skills
Bloomberg, Fixed Income, Trading, Financial Reporting, Bonds, Securities, Investments, Credit, Trading Systems, High Grade, High Yield, Bloomberg Terminal, Financial Services, Credit Risk, Series 7, Asset Managment, Series 63, Capital Markets, Financial Modeling, Series 24, Microsoft Excel, Balance Sheet Review, P&L accounts, P&L reconciliation, Product Control, Credit Trading, Fixed Income Technology, P&L Forecasting, Variance Explanations, Relative Value, US Treasuries, Front Office Trading..., MarketAxess, Trading Strategies, Market Making, Automated Trading, Spreads, Interest Rate Hedging, Critical Thinking, Group Decision Making, Problem Solving, Financial Analysis, Equity Trading, Risk Management, Electronic Trading, Finance, Asset Management
Education
Fordham Gabelli School of Business 2006 — 2009
MBA, Finance
Marist College 1998 — 2002
Bachelor of Science, Business Administration: Finance
Australian Catholic University 2000 — 2001
Seaford High School
Benchmark Securities LLC November 2013 - Present
Cohen and Company / PrinceRidge May 2010 - October 2013
Maxim Group February 2008 - May 2010
Maxim Group LLC February 2006 - February 2008
Maxim Group LLC February 2004 - February 2006
Maxim Group LLC January 2003 - January 2004
Skills
Bloomberg, Fixed Income, Trading, Financial Reporting, Bonds, Securities, Investments, Credit, Trading Systems, High Grade, High Yield, Bloomberg Terminal, Financial Services, Credit Risk, Series 7, Asset Managment, Series 63, Capital Markets, Financial Modeling, Series 24, Microsoft Excel, Balance Sheet Review, P&L accounts, P&L reconciliation, Product Control, Credit Trading, Fixed Income Technology, P&L Forecasting, Variance Explanations, Relative Value, US Treasuries, Front Office Trading..., MarketAxess, Trading Strategies, Market Making, Automated Trading, Spreads, Interest Rate Hedging, Critical Thinking, Group Decision Making, Problem Solving, Financial Analysis, Equity Trading, Risk Management, Electronic Trading, Finance, Asset Management
Education
Fordham Gabelli School of Business 2006 — 2009
MBA, Finance
Marist College 1998 — 2002
Bachelor of Science, Business Administration: Finance
Australian Catholic University 2000 — 2001
Seaford High School
Corey Keyes Corey Keyes's Maxim Group, LLC Experience May 2006 - August 2008
Job Sr Account Executive I Corporate Gift Consultant I Sports Enthusiast | Creative Thinker
Industry Sports
Experience
Steiner Sports November 2008 - Present
Carolyn Dempsey Design July 2008 - Present
Maxim Group LLC May 2006 - August 2008
Skills
Social Media Marketing, Sales Management, Sales, Sales Leads, Athlete Marketing, Athlete Representation, Email Marketing, Product Marketing, Sports, Team Leadership, Organization, Teamwork, Sports Marketing, Sponsorships, Ticket Sales, Event Management, Facebook, Twitter, Public Relations, Charity and Fundraising, Series 7, Series 63, Marketing, Social Media, Management, Social Networking, Event Planning, Public Speaking, Advertising
Education
State University of New York at New Paltz
B.S., General Business
Steiner Sports November 2008 - Present
Carolyn Dempsey Design July 2008 - Present
Maxim Group LLC May 2006 - August 2008
Skills
Social Media Marketing, Sales Management, Sales, Sales Leads, Athlete Marketing, Athlete Representation, Email Marketing, Product Marketing, Sports, Team Leadership, Organization, Teamwork, Sports Marketing, Sponsorships, Ticket Sales, Event Management, Facebook, Twitter, Public Relations, Charity and Fundraising, Series 7, Series 63, Marketing, Social Media, Management, Social Networking, Event Planning, Public Speaking, Advertising
Education
State University of New York at New Paltz
B.S., General Business
David Oberman David Oberman's Maxim Group, LLC Experience March 2013 - May 2013
Job Finance at SPOP
Industry Internet
Experience
SPOP March 2015 - Present
Deutsche Bank January 2015 - April 2015
University of Southern California September 2014 - January 2015
GenYrator June 2014 - September 2014
Seibo June 2010 - January 2014
Union Bank May 2013 - July 2013
Maxim Group, LLC March 2013 - May 2013
Fordham University February 2013 - April 2013
Skills
Financial Modeling, Microsoft Excel, PowerPoint, Microsoft Office, Bloomberg Terminal, Microsoft Word, Pitch Books, Data Analysis, Research, Statistics, Economics, Financial Analysis, Finance, Valuation, Investment Banking, Bloomberg, SPSS, Risk Management, Corporate Finance, Analysis, Project Management, Banking, Equities, Access, Microsoft PowerPoint
Education
University of Southern California 2013 — 2015
Bachelor of Science (B.S.), Business Aministration, Economics
Fordham University 2012 — 2013
Bachelor's degree, Finance
Palos Verdes High School 2007 — 2011
SPOP March 2015 - Present
Deutsche Bank January 2015 - April 2015
University of Southern California September 2014 - January 2015
GenYrator June 2014 - September 2014
Seibo June 2010 - January 2014
Union Bank May 2013 - July 2013
Maxim Group, LLC March 2013 - May 2013
Fordham University February 2013 - April 2013
Skills
Financial Modeling, Microsoft Excel, PowerPoint, Microsoft Office, Bloomberg Terminal, Microsoft Word, Pitch Books, Data Analysis, Research, Statistics, Economics, Financial Analysis, Finance, Valuation, Investment Banking, Bloomberg, SPSS, Risk Management, Corporate Finance, Analysis, Project Management, Banking, Equities, Access, Microsoft PowerPoint
Education
University of Southern California 2013 — 2015
Bachelor of Science (B.S.), Business Aministration, Economics
Fordham University 2012 — 2013
Bachelor's degree, Finance
Palos Verdes High School 2007 — 2011
Andrew Berman Andrew Berman's Maxim Group, LLC Experience June 2009 - July 2009
Job NY Workers' Compensation & SSD Attorney
Industry Law Practice
Experience
The Law Offices of Joseph A. Romano January 2013 - Present
Sanders Ortoli Vaughn-Flam Rosenstadt LLP October 2010 - December 2012
Maxim Group LLC June 2009 - July 2009
Mark A. Campbell, Esq. July 2008 - August 2008
Hon. John R. La Cava June 2008 - July 2008
Home Town Media Group June 2007 - July 2007
The Heritage Foundation June 2006 - July 2006
Skills
Securities Regulation, Private Placements, Legal Research, Litigation, Westlaw, Reverse Mergers, SEC, Due Diligence, Mergers & Acquisitions, Securities Offerings, Rule 144, Private Offerings, SEC filings, Mergers, Mediation, Real Estate Due..., Legal Writing, Restricted Stock, 8-K, 10Q, EDGAR filings, EDGAR, 10K, Blue Sky, Workers Compensation, Workers' Compensation..., Support Workers, Negotiation, Depositions, Appeals, Summations, Rebuttals, Legal Work, Workers' Compensation
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2007 — 2010
Juris Doctor, Law
Manhattanville College 2003 — 2007
Bachelor of Arts, Political Science and History (Double Major)
The Law Offices of Joseph A. Romano January 2013 - Present
Sanders Ortoli Vaughn-Flam Rosenstadt LLP October 2010 - December 2012
Maxim Group LLC June 2009 - July 2009
Mark A. Campbell, Esq. July 2008 - August 2008
Hon. John R. La Cava June 2008 - July 2008
Home Town Media Group June 2007 - July 2007
The Heritage Foundation June 2006 - July 2006
Skills
Securities Regulation, Private Placements, Legal Research, Litigation, Westlaw, Reverse Mergers, SEC, Due Diligence, Mergers & Acquisitions, Securities Offerings, Rule 144, Private Offerings, SEC filings, Mergers, Mediation, Real Estate Due..., Legal Writing, Restricted Stock, 8-K, 10Q, EDGAR filings, EDGAR, 10K, Blue Sky, Workers Compensation, Workers' Compensation..., Support Workers, Negotiation, Depositions, Appeals, Summations, Rebuttals, Legal Work, Workers' Compensation
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2007 — 2010
Juris Doctor, Law
Manhattanville College 2003 — 2007
Bachelor of Arts, Political Science and History (Double Major)
Melissa Peck Melissa Peck's Maxim Group, LLC Experience May 2005 - September 2007
Job at JP Morgan Chase
Industry Financial Services
Experience
JPMorgan Chase January 2014 - Present
SAC Capital April 2010 - December 2013
RBC Capital Markets September 2007 - April 2010
Maxim Group LLC May 2005 - September 2007
Parker/Hunter October 2003 - April 2005
Parker/Hunter March 2001 - October 2003
Education
FINRA Institute at Wharton 2005 — 2008
CRCP, Certified Regulatory & Compliance Professional
Allegheny College 1997 — 2001
Bachelor of Arts (B.A.), Spanish
JPMorgan Chase January 2014 - Present
SAC Capital April 2010 - December 2013
RBC Capital Markets September 2007 - April 2010
Maxim Group LLC May 2005 - September 2007
Parker/Hunter October 2003 - April 2005
Parker/Hunter March 2001 - October 2003
Education
FINRA Institute at Wharton 2005 — 2008
CRCP, Certified Regulatory & Compliance Professional
Allegheny College 1997 — 2001
Bachelor of Arts (B.A.), Spanish
Johnny Mazzeo Johnny Mazzeo's Maxim Group, LLC Experience December 2004 - February 2006
Job Financial Services Professional Series 7,63,9,10,24 licensed
Industry Financial Services
Experience
AllianceBernstein L.P. June 2008 - May 2009
AllianceBernstein April 2007 - May 2009
AllianceBernstein April 2007 - June 2008
AllianceBernstein L.P. April 2007 - June 2008
Maxim Group LLC December 2004 - February 2006
Maxim Group LLC October 2004 - December 2004
Education
Fordham University 2001 — 2004
BS, Finance, Marketing
AllianceBernstein L.P. June 2008 - May 2009
AllianceBernstein April 2007 - May 2009
AllianceBernstein April 2007 - June 2008
AllianceBernstein L.P. April 2007 - June 2008
Maxim Group LLC December 2004 - February 2006
Maxim Group LLC October 2004 - December 2004
Education
Fordham University 2001 — 2004
BS, Finance, Marketing
Travis DiGiacomo Travis DiGiacomo's Maxim Group, LLC Experience March 2015 - Present
Job Equity Research Associate at Maxim Group LLC
Industry Investment Banking
Experience
Maxim Group LLC March 2015 - Present
U.S. Sterling Securities June 2013 - March 2015
U.S. Sterling Securities May 2011 - June 2013
BankUnited June 2010 - August 2010
BankUnited November 2009 - January 2010
Capital One June 2009 - August 2009
Skills
Bloomberg, Financial Modeling, Banking, Investments, Portfolio Management, Finance, Securities, Series 7, Series 63, Valuation, DCF Valuation, Pro Forma Development, M&A Modeling, Financial Statement..., Microsoft Excel, VBA, Credit Analysis, Fundamental Analysis, Investment Portfolio, Fixed Income, Fixed Income Portfolio..., Econometric Modeling, Fixed Income Analysis, Regression Analysis, Quantitative Analytics, FactSet, Eviews, StatTools, SNL, Capital IQ, SQL, Equity Research, Thomson One Analytics, Financial Analysis, SAP, Bloomberg Terminal, Trading
Education
Hofstra University 2013 — 2014
Master of Business Administration (M.B.A.), Finance, 3.8
Quinnipiac University 2007 — 2011
Bachelor’s Degree, Finance & Accounting
Maxim Group LLC March 2015 - Present
U.S. Sterling Securities June 2013 - March 2015
U.S. Sterling Securities May 2011 - June 2013
BankUnited June 2010 - August 2010
BankUnited November 2009 - January 2010
Capital One June 2009 - August 2009
Skills
Bloomberg, Financial Modeling, Banking, Investments, Portfolio Management, Finance, Securities, Series 7, Series 63, Valuation, DCF Valuation, Pro Forma Development, M&A Modeling, Financial Statement..., Microsoft Excel, VBA, Credit Analysis, Fundamental Analysis, Investment Portfolio, Fixed Income, Fixed Income Portfolio..., Econometric Modeling, Fixed Income Analysis, Regression Analysis, Quantitative Analytics, FactSet, Eviews, StatTools, SNL, Capital IQ, SQL, Equity Research, Thomson One Analytics, Financial Analysis, SAP, Bloomberg Terminal, Trading
Education
Hofstra University 2013 — 2014
Master of Business Administration (M.B.A.), Finance, 3.8
Quinnipiac University 2007 — 2011
Bachelor’s Degree, Finance & Accounting
Jordan Horowitz Jordan Horowitz's Maxim Group, LLC Experience June 2013 - August 2013
Job Student at Syracuse University
Industry
Experience
Astronauts Wanted: No Experience Necessary June 2015 - August 2015
The Mark Gordon Company June 2014 - August 2014
Tutors For A Cure 2011 - 2014
Maxim Group LLC June 2013 - August 2013
New York Obesity Research Center 2010 - 2012
Skills
Microsoft Office, Microsoft Excel, Management, Microsoft Word, PowerPoint, Public Speaking, Research, Project Management, Leadership
Education
S.I. Newhouse School of Public Communications at Syracuse University 2012 — 2016
Bachelor of Arts (B.A.), Dual Major: Television, Radio, & Film and Economics
John F. Kennedy High School 2008 — 2012
Astronauts Wanted: No Experience Necessary June 2015 - August 2015
The Mark Gordon Company June 2014 - August 2014
Tutors For A Cure 2011 - 2014
Maxim Group LLC June 2013 - August 2013
New York Obesity Research Center 2010 - 2012
Skills
Microsoft Office, Microsoft Excel, Management, Microsoft Word, PowerPoint, Public Speaking, Research, Project Management, Leadership
Education
S.I. Newhouse School of Public Communications at Syracuse University 2012 — 2016
Bachelor of Arts (B.A.), Dual Major: Television, Radio, & Film and Economics
John F. Kennedy High School 2008 — 2012
Jason McCarthy, PhD Jason McCarthy, PhD's Maxim Group, LLC Experience March 2015 - Present
Job Equity Analyst, Biotechnology
Industry Capital Markets
Experience
Maxim Group, LLC March 2015 - Present
Maxim Group July 2014 - March 2015
Albert Einstein College of Medicine May 2009 - June 2014
Albert Einstein College of Medicine November 2006 - July 2009
Pall Corporation July 2004 - November 2006
Skills
Molecular Biology, Microbiology, Immunoassays, Immunoblotting, Cloning, Antibodies, Protein Purification, Protein Expression, Protein Chromatography, Infectious Diseases, Small Animal Models, real-time PCR, Proteomics, Fluorescence Microscopy, Molecular Cloning, Biotechnology, Life Sciences, Biochemistry, Cell Biology, Cell Culture, Equities, Equity Research, Immunofluorescence, Science, Tissue Culture, Immunology, Transfection, qPCR
Education
Albert Einstein College of Medicine of Yeshiva University 2009 — 2014
Doctor of Philosophy (Ph.D.), Biomedical Sciences
Adelphi University 2005 — 2007
Master of Science (MS), Molecular Biology
Stony Brook University 1999 — 2004
Bachelor's Degree, Biochemistry
Maxim Group, LLC March 2015 - Present
Maxim Group July 2014 - March 2015
Albert Einstein College of Medicine May 2009 - June 2014
Albert Einstein College of Medicine November 2006 - July 2009
Pall Corporation July 2004 - November 2006
Skills
Molecular Biology, Microbiology, Immunoassays, Immunoblotting, Cloning, Antibodies, Protein Purification, Protein Expression, Protein Chromatography, Infectious Diseases, Small Animal Models, real-time PCR, Proteomics, Fluorescence Microscopy, Molecular Cloning, Biotechnology, Life Sciences, Biochemistry, Cell Biology, Cell Culture, Equities, Equity Research, Immunofluorescence, Science, Tissue Culture, Immunology, Transfection, qPCR
Education
Albert Einstein College of Medicine of Yeshiva University 2009 — 2014
Doctor of Philosophy (Ph.D.), Biomedical Sciences
Adelphi University 2005 — 2007
Master of Science (MS), Molecular Biology
Stony Brook University 1999 — 2004
Bachelor's Degree, Biochemistry
Jordan Meadow Jordan Meadow's Maxim Group, LLC Experience October 2014 - Present
Job Wealth Management at Maxim Group LLC
Industry Capital Markets
Experience
Maxim Group LLC October 2014 - Present
Reid and Rudiger LLC September 2013 - October 2014
Acorn Capital July 2010 - September 2013
Skills
Equities, Investments, Portfolio Management, Trading, Capital Markets, Series 7, Financial Markets, Securities, Options, Series 63, Wealth Management, Investment Strategies, Equity Trading, Hedge Funds, Asset Allocation, Alternative Investments, Private Equity, Technical Analysis, Finance, Equity Valuation, Asset Management, Investment Advisory, Strategic Financial..., Bonds, FINRA, Financial Advisory, Hedging, Trading Strategies, Equity Research, Investment Management, Valuation, Series 65, Venture Capital, High Net Worth...
Education
Marist College 2009 — 2011
Bachelor’s Degree, Accounting and Business/Management
Dutchess Community College 2007 — 2009
Associate’s Degree, Business Administration and Management, General
Maxim Group LLC October 2014 - Present
Reid and Rudiger LLC September 2013 - October 2014
Acorn Capital July 2010 - September 2013
Skills
Equities, Investments, Portfolio Management, Trading, Capital Markets, Series 7, Financial Markets, Securities, Options, Series 63, Wealth Management, Investment Strategies, Equity Trading, Hedge Funds, Asset Allocation, Alternative Investments, Private Equity, Technical Analysis, Finance, Equity Valuation, Asset Management, Investment Advisory, Strategic Financial..., Bonds, FINRA, Financial Advisory, Hedging, Trading Strategies, Equity Research, Investment Management, Valuation, Series 65, Venture Capital, High Net Worth...
Education
Marist College 2009 — 2011
Bachelor’s Degree, Accounting and Business/Management
Dutchess Community College 2007 — 2009
Associate’s Degree, Business Administration and Management, General
Frank A. Magnani's Maxim Group, LLC Experience May 2013 - December 2014
Job Global Prime Brokerage SalesHedge Funds, Prop Trading, RIA"s, Family Offices and Broker Dealers
Industry Financial Services
Experience
Interactive Brokers (www.interactivebrokers.com) January 2015 - Present
Maxim Group LLC May 2013 - December 2014
Celadon Financial Group LLC January 2007 - 2013
LFM Global Advisors LLC August 2008 - November 2009
RCM Prime, a division of Rafferty Capital Markets LLC 2005 - 2007
Lek Securities April 2004 - January 2005
Investec Group USA (merged into Fiserv Securities) 1996 - 2004
Israel A. Englander & Co., American Stock Exchange Member Firm 1994 - 1996
American Stock Exchange 1984 - 1994
Skills
Electronic Trading, Securities, Derivatives, Fixed Income, Financial Services, Prime Brokerage, ETFs, Mutual Funds, Due Diligence, Start-ups, Business Strategy, Entrepreneurship, Wealth Management, Proprietary Trading, Equity Derivatives, Risk Management, Equity Trading, Equities, Hedging, Investment Management, Investment Advisory, Currency, Management, Back Office, Banking, Options Strategies, Bonds, Credit, Financial Advisory, Funding, Relationship Management, Hedge Funds, Capital Markets, Public Diplomacy
Education
Manhattan College 1973 — 1977
Bachelor of Business Administration (B.B.A.), Business, Management, Marketing, and Related Support Services
St. John's University
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General
Interactive Brokers (www.interactivebrokers.com) January 2015 - Present
Maxim Group LLC May 2013 - December 2014
Celadon Financial Group LLC January 2007 - 2013
LFM Global Advisors LLC August 2008 - November 2009
RCM Prime, a division of Rafferty Capital Markets LLC 2005 - 2007
Lek Securities April 2004 - January 2005
Investec Group USA (merged into Fiserv Securities) 1996 - 2004
Israel A. Englander & Co., American Stock Exchange Member Firm 1994 - 1996
American Stock Exchange 1984 - 1994
Skills
Electronic Trading, Securities, Derivatives, Fixed Income, Financial Services, Prime Brokerage, ETFs, Mutual Funds, Due Diligence, Start-ups, Business Strategy, Entrepreneurship, Wealth Management, Proprietary Trading, Equity Derivatives, Risk Management, Equity Trading, Equities, Hedging, Investment Management, Investment Advisory, Currency, Management, Back Office, Banking, Options Strategies, Bonds, Credit, Financial Advisory, Funding, Relationship Management, Hedge Funds, Capital Markets, Public Diplomacy
Education
Manhattan College 1973 — 1977
Bachelor of Business Administration (B.B.A.), Business, Management, Marketing, and Related Support Services
St. John's University
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General
Brian Rollison Brian Rollison's Maxim Group, LLC Experience May 2011 - August 2011
Job Graduate Student, Cornell University
Industry Capital Markets
Experience
Cornell University August 2015 - Present
Emerging Global Advisors LLC EGShares July 2012 - August 2015
Maxim Group LLC May 2011 - August 2011
Skills
Financial Analysis, Financial Planning, Investor Relations, Bloomberg Terminal, Series 7, Series 63, Fundamental Research, Technical Analysis, DCF, Equity Research, Equity Derivatives, Emerging Markets, Client Development, Product Launch, Morningstar Direct, ETFs, ADRs, GDR, Index Funds, Indexing, Bloomberg, Equities, Investments
Education
Cornell University Graduate School 2015 — 2017
Master’s Degree, City/Urban, Community and Regional Planning
Florida State University 2008 — 2012
Bachelor's Degree, Finance and Economics
Cornell University August 2015 - Present
Emerging Global Advisors LLC EGShares July 2012 - August 2015
Maxim Group LLC May 2011 - August 2011
Skills
Financial Analysis, Financial Planning, Investor Relations, Bloomberg Terminal, Series 7, Series 63, Fundamental Research, Technical Analysis, DCF, Equity Research, Equity Derivatives, Emerging Markets, Client Development, Product Launch, Morningstar Direct, ETFs, ADRs, GDR, Index Funds, Indexing, Bloomberg, Equities, Investments
Education
Cornell University Graduate School 2015 — 2017
Master’s Degree, City/Urban, Community and Regional Planning
Florida State University 2008 — 2012
Bachelor's Degree, Finance and Economics
Eric Javer Eric Javer's Maxim Group, LLC Experience June 2005 - Present
Job Senior Vice President, Wealth Management at Maxim Group
Industry Financial Services
Experience
Maxim Group LLC June 2005 - Present
Skills
Series 7, Series 63, Fixed Income, Securities, Equities, Mutual Funds, Trading, Bonds, New Business Development, Sales, Family Office, Syndicate, Secondary Offerings, IPO, Equity Trading, Follow-on Offerings
Education
University of Massachusetts, Amherst
Economics
Maxim Group LLC June 2005 - Present
Skills
Series 7, Series 63, Fixed Income, Securities, Equities, Mutual Funds, Trading, Bonds, New Business Development, Sales, Family Office, Syndicate, Secondary Offerings, IPO, Equity Trading, Follow-on Offerings
Education
University of Massachusetts, Amherst
Economics
Jack Terranova's Maxim Group, LLC Experience May 2015 - Present
Job Vice President, Investment Banking at Maxim Group LLC
Industry Investment Banking
Experience
Maxim Group LLC May 2015 - Present
Maxim Group LLC February 2014 - May 2015
Maxim Group LLC February 2012 - February 2014
Education
Tulane University - A.B. Freeman School of Business
Maxim Group LLC May 2015 - Present
Maxim Group LLC February 2014 - May 2015
Maxim Group LLC February 2012 - February 2014
Education
Tulane University - A.B. Freeman School of Business
Sofia E. Sema Sofia E. Sema's Maxim Group, LLC Experience July 2010 - November 2014
Job Private Placements, Investment Banking
Industry Investment Banking
Experience
H.C. Wainwright & Co., LLC December 2014 - Present
Maxim Group, LLC July 2010 - November 2014
Advanced Equities November 2007 - July 2010
Matrix Investment Research/Matrix USA LLC June 2007 - November 2007
Merrill Lynch February 2007 - June 2007
Merrill Lynch August 2006 - February 2007
Astor Realty July 2002 - February 2007
Skills
Private Equity, Investment Banking, Venture Capital, Investments, Alternative Investments, Equity Research, Mergers & Acquisitions, Equities, Finance, Hedge Funds, Mergers, Banking, Securities, Capital Markets, Valuation, Trading, Bloomberg, Asset Management, Bonds, Due Diligence, Series 7, Series 63, Series 79, Risk Management, Bloomberg Terminal, Corporate Finance, Emerging Markets, Fixed Income, Financial Modeling, Wealth Management, C/C++ STL
Education
City University of New York-Baruch College - Zicklin School of Business 2002 — 2007
BBA
Long Island City High School 2000 — 2002
high school Diploma
H.C. Wainwright & Co., LLC December 2014 - Present
Maxim Group, LLC July 2010 - November 2014
Advanced Equities November 2007 - July 2010
Matrix Investment Research/Matrix USA LLC June 2007 - November 2007
Merrill Lynch February 2007 - June 2007
Merrill Lynch August 2006 - February 2007
Astor Realty July 2002 - February 2007
Skills
Private Equity, Investment Banking, Venture Capital, Investments, Alternative Investments, Equity Research, Mergers & Acquisitions, Equities, Finance, Hedge Funds, Mergers, Banking, Securities, Capital Markets, Valuation, Trading, Bloomberg, Asset Management, Bonds, Due Diligence, Series 7, Series 63, Series 79, Risk Management, Bloomberg Terminal, Corporate Finance, Emerging Markets, Fixed Income, Financial Modeling, Wealth Management, C/C++ STL
Education
City University of New York-Baruch College - Zicklin School of Business 2002 — 2007
BBA
Long Island City High School 2000 — 2002
high school Diploma
Richard Tomitz Richard Tomitz's Maxim Group, LLC Experience 2002 - Present
Job Assistant Branch Manager/Investment Advisor
Industry Financial Services
Experience
Maxim Group LLC 2002 - Present
Investec Ernst 1999 - 2001
Royce Investment Group 1995 - 1999
Skills
Series 24 Supervisory..., Wealth Management, Sales Leadership..., Investments, Fixed Income, Equities, Retail Brokerage, Retirement Planning, Options Strategies, Strategic Financial..., Asset Management, Series 63, Portfolio Management, Uniform Combined State..., Mutual Funds, Asset Allocation, Alternative Investments, Retirement, Fixed Annuities, Hedge Funds, Mergers & Acquisitions, Series 7
Education
State University of New York at Binghamton 1990 — 1995
Bachelor of Arts (B.A.)
Maxim Group LLC 2002 - Present
Investec Ernst 1999 - 2001
Royce Investment Group 1995 - 1999
Skills
Series 24 Supervisory..., Wealth Management, Sales Leadership..., Investments, Fixed Income, Equities, Retail Brokerage, Retirement Planning, Options Strategies, Strategic Financial..., Asset Management, Series 63, Portfolio Management, Uniform Combined State..., Mutual Funds, Asset Allocation, Alternative Investments, Retirement, Fixed Annuities, Hedge Funds, Mergers & Acquisitions, Series 7
Education
State University of New York at Binghamton 1990 — 1995
Bachelor of Arts (B.A.)
Lisa Carpitella's Maxim Group, LLC Experience 2006 - 2008
Job Corporate Communications Professional (Financial Services & Related Industries)
Industry Public Relations and Communications
Experience
J.P. Morgan October 2011 - Present
MetLife March 2009 - July 2010
Maxim Group LLC 2006 - 2008
Bank of America (formerly MBNA America) February 2004 - August 2006
MBNA America, Newark, DE 2002 - 2004
MBNA America, Newark, DE 2000 - 2002
MBNA America, Newark, DE 1998 - 2000
Skills
Microsoft (MS) Windows..., MS Project, MS Sharepoint, Adobe Acrobat Programs, Adobe Photoshop, Lotus Notes, Web-based Event..., CRM, Strategic Planning, Strategy, Corporate Communications
Education
University of Delaware
Bachelor of Arts, Communication (Mass Media Concentration); Minor in English
J.P. Morgan October 2011 - Present
MetLife March 2009 - July 2010
Maxim Group LLC 2006 - 2008
Bank of America (formerly MBNA America) February 2004 - August 2006
MBNA America, Newark, DE 2002 - 2004
MBNA America, Newark, DE 2000 - 2002
MBNA America, Newark, DE 1998 - 2000
Skills
Microsoft (MS) Windows..., MS Project, MS Sharepoint, Adobe Acrobat Programs, Adobe Photoshop, Lotus Notes, Web-based Event..., CRM, Strategic Planning, Strategy, Corporate Communications
Education
University of Delaware
Bachelor of Arts, Communication (Mass Media Concentration); Minor in English
Alexander Portno's Maxim Group, LLC Experience December 2013 - June 2014
Job Equity Trader at Chimera Securities
Industry Capital Markets
Experience
Chimera Securities June 2014 - Present
Maxim Group, LLC December 2013 - June 2014
Education
Hofstra University 2010 — 2014
Bachelor of Arts (B.A.), Business Economics
Wilbraham and Monson Academy
Chimera Securities June 2014 - Present
Maxim Group, LLC December 2013 - June 2014
Education
Hofstra University 2010 — 2014
Bachelor of Arts (B.A.), Business Economics
Wilbraham and Monson Academy
Leonard Parisi's Maxim Group, LLC Experience October 2002 - Present
Job Senior Vice President Maxim Group LLC
Industry Investment Management
Experience
Maxim Group LLC October 2002 - Present
MVP Sports Media Training February 2009 - August 2011
Players Network December 2008 - September 2009
Investec Ernst & Co September 1999 - October 2002
Josephthal & Co April 1999 - September 1999
Barington Capital March 1998 - April 1999
Blair & Company May 1995 - March 1998
Paine Webber June 1992 - May 1995
Education
University of Southern California - Marshall School of Business 1999 — 2001
MBA, Financial Management
Rutgers University-New Brunswick 1991 — 1995
Bachelors, Finance
Leonia High School 1987 — 1991
Maxim Group LLC October 2002 - Present
MVP Sports Media Training February 2009 - August 2011
Players Network December 2008 - September 2009
Investec Ernst & Co September 1999 - October 2002
Josephthal & Co April 1999 - September 1999
Barington Capital March 1998 - April 1999
Blair & Company May 1995 - March 1998
Paine Webber June 1992 - May 1995
Education
University of Southern California - Marshall School of Business 1999 — 2001
MBA, Financial Management
Rutgers University-New Brunswick 1991 — 1995
Bachelors, Finance
Leonia High School 1987 — 1991
Al Cestari's Maxim Group, LLC Experience January 2008 - February 2009
Job Monitor at Guidepost Solutions
Industry Banking
Experience
Guidepost Solutions October 2013 - Present
CK ASSOCIATES July 2001 - Present
CK Associates July 2001 - Present
HSBC May 2010 - December 2011
Daylight Forensic & Advisory LLC November 2009 - January 2010
Maxim Group LLC January 2008 - February 2009
Barclays December 2008 - January 2009
Washington Mutual July 2008 - November 2008
Promontory Financial Group May 2008 - July 2008
American Express Bank International August 2007 - December 2007
Skills
Fraud, AML, KYC, Bank Secrecy Act, Financial Institutions, FINRA, FCPA, Certified Anti-Money..., Financial Regulation, Credit Risk, Commercial Banking, Internal Investigations, Retail Banking, Analysis, Anti Money Laundering, OFAC, Operational Risk..., Capital Markets, Payments, Operational Risk, Corporate Security, Credit
Education
Long Island University, C.W. Post Campus 1967 — 1971
Guidepost Solutions October 2013 - Present
CK ASSOCIATES July 2001 - Present
CK Associates July 2001 - Present
HSBC May 2010 - December 2011
Daylight Forensic & Advisory LLC November 2009 - January 2010
Maxim Group LLC January 2008 - February 2009
Barclays December 2008 - January 2009
Washington Mutual July 2008 - November 2008
Promontory Financial Group May 2008 - July 2008
American Express Bank International August 2007 - December 2007
Skills
Fraud, AML, KYC, Bank Secrecy Act, Financial Institutions, FINRA, FCPA, Certified Anti-Money..., Financial Regulation, Credit Risk, Commercial Banking, Internal Investigations, Retail Banking, Analysis, Anti Money Laundering, OFAC, Operational Risk..., Capital Markets, Payments, Operational Risk, Corporate Security, Credit
Education
Long Island University, C.W. Post Campus 1967 — 1971
Roland Springall's Maxim Group, LLC Experience June 2013 - December 2013
Job Founder/Global Macro Hedge Fund Manager at Arcas Orion IXXI Capital LLC
Industry Banking
Experience
Arcas Orion IXXI Capital LLC January 2014 - Present
Arcas Orion IXXI Capital LLC January 2014 - Present
Monex Securities Inc. December 2013 - January 2014
Maxim Group LLC June 2013 - December 2013
RWS Blues LLC March 2013 - May 2013
Elara Capital September 2012 - February 2013
RWS Blues LLC August 2008 - August 2012
Miller Tabak Roberts Securities, LLC March 2007 - July 2008
Bulltick Capital Markets October 2004 - April 2006
Bank of America January 2000 - April 2001
Skills
Valuation, Emerging Markets, Debt, Trading, Research Analyst, Distressed Debt, Capital Markets, Equities, Joint Ventures, FX Options, Derivatives, Investment Banking, Structured Products, Hedge Funds, Bloomberg, Bonds, Financial Markets, Financial Modeling, Banking, Series 63, Series 7, Alternative Investments, Securities, Syndications, Investment Management, Financial Structuring, Private Equity, Equity Research, FINRA, Asset Management, Private Banking, Corporate Finance, Structured Finance, Portfolio Management, High Yield, Equity Valuation, Investments, Investment Strategies, Options, Credit Derivatives, Equity Derivatives, Electronic Trading, Trading Systems, Equity Trading, Equity Capital Markets, Hedging, Market Risk, Interest Rate..., Fixed Income Analysis, Asset Allocation
Education
Grand Canyon University 2014 — 2015
Doctor of Philosophy (PhD), Theology/Theological Studies
IFREC 1994 — 1994
Real Estate Broker License for the State of Florida, Real Estate
University of California, Berkeley - Walter A. Haas School of Business 1990 — 1992
Master of Business Administration (M.B.A.), International Finance
Instituto Tecnológico Autónomo de México 1984 — 1989
B.A., Economics
American School Foundation A.C. 1979 — 1983
High School Diploma, International Finance
Arcas Orion IXXI Capital LLC January 2014 - Present
Arcas Orion IXXI Capital LLC January 2014 - Present
Monex Securities Inc. December 2013 - January 2014
Maxim Group LLC June 2013 - December 2013
RWS Blues LLC March 2013 - May 2013
Elara Capital September 2012 - February 2013
RWS Blues LLC August 2008 - August 2012
Miller Tabak Roberts Securities, LLC March 2007 - July 2008
Bulltick Capital Markets October 2004 - April 2006
Bank of America January 2000 - April 2001
Skills
Valuation, Emerging Markets, Debt, Trading, Research Analyst, Distressed Debt, Capital Markets, Equities, Joint Ventures, FX Options, Derivatives, Investment Banking, Structured Products, Hedge Funds, Bloomberg, Bonds, Financial Markets, Financial Modeling, Banking, Series 63, Series 7, Alternative Investments, Securities, Syndications, Investment Management, Financial Structuring, Private Equity, Equity Research, FINRA, Asset Management, Private Banking, Corporate Finance, Structured Finance, Portfolio Management, High Yield, Equity Valuation, Investments, Investment Strategies, Options, Credit Derivatives, Equity Derivatives, Electronic Trading, Trading Systems, Equity Trading, Equity Capital Markets, Hedging, Market Risk, Interest Rate..., Fixed Income Analysis, Asset Allocation
Education
Grand Canyon University 2014 — 2015
Doctor of Philosophy (PhD), Theology/Theological Studies
IFREC 1994 — 1994
Real Estate Broker License for the State of Florida, Real Estate
University of California, Berkeley - Walter A. Haas School of Business 1990 — 1992
Master of Business Administration (M.B.A.), International Finance
Instituto Tecnológico Autónomo de México 1984 — 1989
B.A., Economics
American School Foundation A.C. 1979 — 1983
High School Diploma, International Finance
Echo He's Maxim Group, LLC Experience 2009 - Present
Job Senior Analyst at Maxim Group China/Asia Generalist
Industry Research
Experience
Maxim Group LLC 2009 - Present
Oppenheimer & Co. 2007 - 2009
CRT Capital Group 2005 - 2006
National Institutes of Health 2001 - 2003
Indiana University School of Medicine 1998 - 2001
Skills
Due Diligence, Capital Markets, Equity Research, Investments, Valuation
Education
The University of Chicago - Booth School of Business 2003 — 2005
MBA
Medical College of Ohio 1994 — 1998
Doctor of Philosophy (Ph.D.), Medical Sciences
Beijing University Medical School 1987 — 1993
MD
Maxim Group LLC 2009 - Present
Oppenheimer & Co. 2007 - 2009
CRT Capital Group 2005 - 2006
National Institutes of Health 2001 - 2003
Indiana University School of Medicine 1998 - 2001
Skills
Due Diligence, Capital Markets, Equity Research, Investments, Valuation
Education
The University of Chicago - Booth School of Business 2003 — 2005
MBA
Medical College of Ohio 1994 — 1998
Doctor of Philosophy (Ph.D.), Medical Sciences
Beijing University Medical School 1987 — 1993
MD
Jason Sardo's Maxim Group, LLC Experience August 2005 - Present
Job Senior VicePresident Institutional Sales at Maxim Group LLC
Industry Capital Markets
Experience
Maxim Group LLC August 2005 - Present
Wachovia Securities January 2001 - January 2005
CIBC Oppenheimer 1997 - 2000
Education
Fordham University 1987 — 1991
Bachelor of Science, Finance
John Jay High School 1986 — 1987
Pleasantville 1983 — 1986
Maxim Group LLC August 2005 - Present
Wachovia Securities January 2001 - January 2005
CIBC Oppenheimer 1997 - 2000
Education
Fordham University 1987 — 1991
Bachelor of Science, Finance
John Jay High School 1986 — 1987
Pleasantville 1983 — 1986
Edward J. Lynch, CFP's Maxim Group, LLC Experience 2010 - 2013
Job Fee Only Financial Planning
Industry Financial Services
Experience
Sole Practitioner, Financial Planning 2013 - Present
Maxim Group LLC 2010 - 2013
Barnard Jacobs Mellet USA LLC June 1997 - July 2010
FPANY 2001 - 2006
PaineWebber March 1988 - June 1997
Skills
Bonds, Bloomberg, Securities, Asset Management, Portfolio Management, Investments, Trading, Mutual Funds, Wealth Management, Asset Allocation
Education
Fordham University - Graduate School of Business Administration
Master of Business Administration (M.B.A.), Finance
Chaminade High School
High School
Villanova University
Bachelor's Degree, Economics And History
Sole Practitioner, Financial Planning 2013 - Present
Maxim Group LLC 2010 - 2013
Barnard Jacobs Mellet USA LLC June 1997 - July 2010
FPANY 2001 - 2006
PaineWebber March 1988 - June 1997
Skills
Bonds, Bloomberg, Securities, Asset Management, Portfolio Management, Investments, Trading, Mutual Funds, Wealth Management, Asset Allocation
Education
Fordham University - Graduate School of Business Administration
Master of Business Administration (M.B.A.), Finance
Chaminade High School
High School
Villanova University
Bachelor's Degree, Economics And History
Peter Reneo's Maxim Group, LLC Experience April 2011 - January 2012
Job Compliance Officer at Halen Capital Management Inc.
Industry Financial Services
Experience
Halen Capital Management Inc. April 2015 - Present
Newport Coast Securities January 2015 - Present
Tejas Securities Group, Inc. April 2012 - September 2014
Maxim Group LLC April 2011 - January 2012
Jesup & Lamont Inc. January 2009 - June 2010
Bear Stearns November 1998 - June 2009
Strike Technologies ECN, LLC November 1998 - April 2000
Nasdaq Stock Market March 1987 - November 1998
Skills
Equity Trading, Equities, Capital Markets, Trading, Electronic Trading, Series 7, Trading Systems, Hedge Funds, Securities, Equity Research, Investment Banking, Bloomberg, Financial Markets, Options, Alternative Investments, Fixed Income, Investments, Structured Products, Prime Brokerage, FINRA, Asset Management, Program Trading, Series 24, Derivatives, Market Making, Series 63, ETFs, Equity Derivatives, Bonds
Education
DeVry University 1980 — 1982
Associates, Electronic Technology
Halen Capital Management Inc. April 2015 - Present
Newport Coast Securities January 2015 - Present
Tejas Securities Group, Inc. April 2012 - September 2014
Maxim Group LLC April 2011 - January 2012
Jesup & Lamont Inc. January 2009 - June 2010
Bear Stearns November 1998 - June 2009
Strike Technologies ECN, LLC November 1998 - April 2000
Nasdaq Stock Market March 1987 - November 1998
Skills
Equity Trading, Equities, Capital Markets, Trading, Electronic Trading, Series 7, Trading Systems, Hedge Funds, Securities, Equity Research, Investment Banking, Bloomberg, Financial Markets, Options, Alternative Investments, Fixed Income, Investments, Structured Products, Prime Brokerage, FINRA, Asset Management, Program Trading, Series 24, Derivatives, Market Making, Series 63, ETFs, Equity Derivatives, Bonds
Education
DeVry University 1980 — 1982
Associates, Electronic Technology
Vlad Ivanov's Maxim Group, LLC Experience March 2010 - April 2011
Job Vice President, Healthcare Investment Banking at Ladenburg Thalmann
Industry Investment Banking
Experience
Ladenburg Thalmann June 2012 - Present
Rodman & Renshaw April 2011 - June 2012
Maxim Group LLC March 2010 - April 2011
Churchill Capital USA July 2008 - November 2008
Walthausen & Co LLC April 2007 - May 2008
Paradigm Capital Management May 2007 - August 2007
Skills
Capital IQ, Bloomberg Terminal, Microsoft Office, Private Placements, Follow-on Offerings, Investment Banking, IPO, Marketing, Valuation, Financial Modeling, Hedge Funds, Capital Markets, Mergers, Equities, Due Diligence, Corporate Finance, Investments, Financial Analysis, Mergers & Acquisitions, Finance, Securities, Equity Research, Venture Capital, Equity Valuation, Bloomberg, Private Equity, LBO, Corporate Development, Emerging Markets, M&A experience, Fixed Income, Business Valuation, Alternative Investments, Series 7, DCF, Asset Management, Series 63
Education
University at Albany, SUNY 2004 — 2008
B.S. Financial Analysis, Finance / Accounting
Midwood High School 2000 — 2004
Medical Science
Ladenburg Thalmann June 2012 - Present
Rodman & Renshaw April 2011 - June 2012
Maxim Group LLC March 2010 - April 2011
Churchill Capital USA July 2008 - November 2008
Walthausen & Co LLC April 2007 - May 2008
Paradigm Capital Management May 2007 - August 2007
Skills
Capital IQ, Bloomberg Terminal, Microsoft Office, Private Placements, Follow-on Offerings, Investment Banking, IPO, Marketing, Valuation, Financial Modeling, Hedge Funds, Capital Markets, Mergers, Equities, Due Diligence, Corporate Finance, Investments, Financial Analysis, Mergers & Acquisitions, Finance, Securities, Equity Research, Venture Capital, Equity Valuation, Bloomberg, Private Equity, LBO, Corporate Development, Emerging Markets, M&A experience, Fixed Income, Business Valuation, Alternative Investments, Series 7, DCF, Asset Management, Series 63
Education
University at Albany, SUNY 2004 — 2008
B.S. Financial Analysis, Finance / Accounting
Midwood High School 2000 — 2004
Medical Science
Constantino Gutierrez's Maxim Group, LLC Experience February 2006 - March 2008
Job VP Investment Banking at Ladenburg Thalmann
Industry Investment Banking
Experience
Ladenburg Thalmann & Co. Inc. October 2009 - Present
Newbridge Securities Corporation April 2008 - September 2009
Maxim Group LLC February 2006 - March 2008
Skills
Investment Banking, Private Equity, Financial Modeling, Due Diligence, Venture Capital, Valuation, Mergers & Acquisitions, Investments, Corporate Finance, Capital Markets
Education
University of Pennsylvania 1997 — 2001
Ethical Fieldston Culture School
Ladenburg Thalmann & Co. Inc. October 2009 - Present
Newbridge Securities Corporation April 2008 - September 2009
Maxim Group LLC February 2006 - March 2008
Skills
Investment Banking, Private Equity, Financial Modeling, Due Diligence, Venture Capital, Valuation, Mergers & Acquisitions, Investments, Corporate Finance, Capital Markets
Education
University of Pennsylvania 1997 — 2001
Ethical Fieldston Culture School
Nicolle Payne's Maxim Group, LLC Experience April 2007 - July 2012
Job Owner of Ride the Wave Nutrition
Industry Health, Wellness and Fitness
Experience
Ride the Wave Nutrition August 2013 - Present
RS Investments December 2012 - August 2013
Maxim Group LLC April 2007 - July 2012
Discovery Communications August 2006 - April 2007
US Olympic Team 1997 - 2004
Skills
Due Diligence, Project Management, PowerPoint, Business Development, Microsoft Excel, Event Management, Negotiation, Sports, Non-profits, Advertising, Data Analysis, Marketing Strategy, Investments, Public Relations, Marketing, Sales, Leadership, Social Media, Public Speaking
Education
University of California, Los Angeles 1994 — 2000
Bachelor of Science (BS), Biology
University of California, Los Angeles
BS Biology, Biology, General
Ride the Wave Nutrition August 2013 - Present
RS Investments December 2012 - August 2013
Maxim Group LLC April 2007 - July 2012
Discovery Communications August 2006 - April 2007
US Olympic Team 1997 - 2004
Skills
Due Diligence, Project Management, PowerPoint, Business Development, Microsoft Excel, Event Management, Negotiation, Sports, Non-profits, Advertising, Data Analysis, Marketing Strategy, Investments, Public Relations, Marketing, Sales, Leadership, Social Media, Public Speaking
Education
University of California, Los Angeles 1994 — 2000
Bachelor of Science (BS), Biology
University of California, Los Angeles
BS Biology, Biology, General
John Govic's Maxim Group, LLC Experience May 2004 - April 2006
Job Compliance Surveillance Manager Vice President at J.P. Morgan
Industry Financial Services
Experience
J.P. Morgan June 2014 - Present
UBS Financial Services Inc. April 2006 - June 2014
MAXIM GROUP LLC May 2004 - April 2006
Morgan Stanley November 2003 - March 2004
Spectrum Capital Partners May 2002 - September 2003
SCHONFELD SECURITIES LLC January 1996 - March 2002
Skills
FINRA, Investment Advisory, Banking, Electronic Trading, Trading Systems, Financial Services, Operational Risk, Derivatives, Uniform Combined State..., Bloomberg, Financial Markets, KYC, Due Diligence, Bonds, Financial Analysis, Finance, Series 3, Series 4, Series 7, Series 9, Series 10, Series 24, Series 31, Series 53, Series 55, Series 63, Series 65, NJ Life Insurance..., NJ Health Insurance...
Education
Ramapo College of New Jersey
Bachelor of Arts, Economics
J.P. Morgan June 2014 - Present
UBS Financial Services Inc. April 2006 - June 2014
MAXIM GROUP LLC May 2004 - April 2006
Morgan Stanley November 2003 - March 2004
Spectrum Capital Partners May 2002 - September 2003
SCHONFELD SECURITIES LLC January 1996 - March 2002
Skills
FINRA, Investment Advisory, Banking, Electronic Trading, Trading Systems, Financial Services, Operational Risk, Derivatives, Uniform Combined State..., Bloomberg, Financial Markets, KYC, Due Diligence, Bonds, Financial Analysis, Finance, Series 3, Series 4, Series 7, Series 9, Series 10, Series 24, Series 31, Series 53, Series 55, Series 63, Series 65, NJ Life Insurance..., NJ Health Insurance...
Education
Ramapo College of New Jersey
Bachelor of Arts, Economics
Tom Warnock's Maxim Group, LLC Experience December 2008 - December 2009
Job Director at National Australia Bank
Industry Capital Markets
Experience
National Australia Bank February 2010 - October 2014
Maxim Group LLC December 2008 - December 2009
ABN AMRO June 2004 - April 2008
Bank One April 1999 - June 2004
Chase Manhattan Corporation May 1982 - July 1998
Skills
Financial Markets, Banking, Swaps, Capital Markets, Credit, Fixed Income, Structured Products, Foreign Exchange, Bonds, Structured Finance, Derivatives, Portfolio Management, Trading, Asset Management, Bloomberg, Hedge Funds, Equities, Finance, Investments, Investment Banking, Management, Securities, Alternative Investments, Relationship Management, Financial Structuring
Education
University at Albany, SUNY 1977 — 1981
BS, Finance
National Australia Bank February 2010 - October 2014
Maxim Group LLC December 2008 - December 2009
ABN AMRO June 2004 - April 2008
Bank One April 1999 - June 2004
Chase Manhattan Corporation May 1982 - July 1998
Skills
Financial Markets, Banking, Swaps, Capital Markets, Credit, Fixed Income, Structured Products, Foreign Exchange, Bonds, Structured Finance, Derivatives, Portfolio Management, Trading, Asset Management, Bloomberg, Hedge Funds, Equities, Finance, Investments, Investment Banking, Management, Securities, Alternative Investments, Relationship Management, Financial Structuring
Education
University at Albany, SUNY 1977 — 1981
BS, Finance
Murry Shapero's Maxim Group, LLC Experience June 2004 - Present
Job Senior Vice President Investments at Maxim Group LLC
Industry Financial Services
Experience
Maxim Group LLC June 2004 - Present
H.D. Brous & Co. Inc. October 1998 - June 2004
Ladenburg Capital Management Inc. September 1998 - October 1998
Skills
Equities, Series 7, Investments, Portfolio Management, Private Equity, Investment Banking
Education
University at Buffalo 1979 — 1982
Bachelors, Finance
Maxim Group LLC June 2004 - Present
H.D. Brous & Co. Inc. October 1998 - June 2004
Ladenburg Capital Management Inc. September 1998 - October 1998
Skills
Equities, Series 7, Investments, Portfolio Management, Private Equity, Investment Banking
Education
University at Buffalo 1979 — 1982
Bachelors, Finance
Michael Rypl's Maxim Group, LLC Experience June 2012 - September 2014
Job Financial Advisor at Oppenheimer & Co. Inc.
Industry Capital Markets
Experience
Oppenheimer & Co. Inc. September 2014 - Present
Maxim Group LLC June 2012 - September 2014
Noble Financial January 2009 - May 2012
POLARIS INVESTMENT PARTNERS March 2002 - March 2008
R4, INC January 2000 - January 2002
RAYMOND JAMES & ASSOCIATES January 1998 - January 2000
A.G. Edwards January 1996 - January 1998
HAGAR CAPITAL, INC January 1995 - January 1996
SMITH BARNEY January 1992 - January 1995
BEAR STEARNS & COMPANY January 1991 - January 1992
Education
Mercer University 1985 — 1989
Bachelor of Business Administration, Marketing
Oppenheimer & Co. Inc. September 2014 - Present
Maxim Group LLC June 2012 - September 2014
Noble Financial January 2009 - May 2012
POLARIS INVESTMENT PARTNERS March 2002 - March 2008
R4, INC January 2000 - January 2002
RAYMOND JAMES & ASSOCIATES January 1998 - January 2000
A.G. Edwards January 1996 - January 1998
HAGAR CAPITAL, INC January 1995 - January 1996
SMITH BARNEY January 1992 - January 1995
BEAR STEARNS & COMPANY January 1991 - January 1992
Education
Mercer University 1985 — 1989
Bachelor of Business Administration, Marketing
Dylan Spicker's Maxim Group, LLC Experience June 2014 - July 2014
Job MBA (2015) Pepperdine University, The George L. Graziadio School of Business and Management
Industry Financial Services
Experience
Maxim Group LLC June 2014 - July 2014
Monness, Crespi, Hardt & Co., Inc. May 2014 - June 2014
Mitsubishi Kagaku Imaging Corporation May 2012 - May 2013
Skills
Tax, Bookkeeping, Income Tax, Financial Accounting, Accounting, Financial Reporting, Regression Analysis, Microsoft Excel, Equities, Equity Research, Corporate Finance, Regression Testing, Legal Writing, Time Management, Due Diligence, Economics, Private Equity, Finance, Corporate Governance, Mergers & Acquisitions, Securities, Management, Leadership, Financial Analysis, PowerPoint, Microsoft Office, Public Speaking, Data Analysis, Research
Education
Pepperdine University, The George L. Graziadio School of Business and Management 2013 — 2015
MBA, Finance, Second year
Longwood University 2008 — 2012
Bachelor of Science (BS), Economics, 3.71
Maxim Group LLC June 2014 - July 2014
Monness, Crespi, Hardt & Co., Inc. May 2014 - June 2014
Mitsubishi Kagaku Imaging Corporation May 2012 - May 2013
Skills
Tax, Bookkeeping, Income Tax, Financial Accounting, Accounting, Financial Reporting, Regression Analysis, Microsoft Excel, Equities, Equity Research, Corporate Finance, Regression Testing, Legal Writing, Time Management, Due Diligence, Economics, Private Equity, Finance, Corporate Governance, Mergers & Acquisitions, Securities, Management, Leadership, Financial Analysis, PowerPoint, Microsoft Office, Public Speaking, Data Analysis, Research
Education
Pepperdine University, The George L. Graziadio School of Business and Management 2013 — 2015
MBA, Finance, Second year
Longwood University 2008 — 2012
Bachelor of Science (BS), Economics, 3.71
John Viteritti's Maxim Group, LLC Experience June 2011 - May 2014
Job Personal Banker, Wells Fargo
Industry Financial Services
Experience
Maxim Group, LLC June 2011 - May 2014
Axiom Capital Management November 2009 - June 2011
Rodman & Renshaw September 2005 - November 2009
Spear, Leeds & Kellogg May 1995 - February 2002
Robb, Peck & McCooey January 1994 - April 1995
Oppenheimer & Co. January 1992 - December 1993
Skills
Trading, Series 7, Equities, Securities, Series 63, Capital Markets, Hedge Funds, Bloomberg, Fixed Income, Equity Trading, Electronic Trading, Investment Banking, Options, Trading Systems, Investments, Financial Markets, FINRA, Alternative Investments, Asset Management, Equity Research
Education
The Catholic University of America 1987 — 1990
BA, Politics
Maxim Group, LLC June 2011 - May 2014
Axiom Capital Management November 2009 - June 2011
Rodman & Renshaw September 2005 - November 2009
Spear, Leeds & Kellogg May 1995 - February 2002
Robb, Peck & McCooey January 1994 - April 1995
Oppenheimer & Co. January 1992 - December 1993
Skills
Trading, Series 7, Equities, Securities, Series 63, Capital Markets, Hedge Funds, Bloomberg, Fixed Income, Equity Trading, Electronic Trading, Investment Banking, Options, Trading Systems, Investments, Financial Markets, FINRA, Alternative Investments, Asset Management, Equity Research
Education
The Catholic University of America 1987 — 1990
BA, Politics
Andy Bello's Maxim Group, LLC Experience January 2010 - Present
Job Managing Director Investment Banking, Maxim Group
Industry Financial Services
Experience
Maxim Group, LLC January 2010 - Present
Citi February 1987 - December 1990
JPMorgan Chase & Co. July 1976 - January 1987
Skills
Investment Banking, Equities, Emerging Markets, Securities, Private Equity, Investments, Finance, Loans, Capital Markets, Private Placements, Valuation, U.S. Army, Combat Engineer, Demolition, Asset Managment, Investor Relations, Mutual Funds, Portfolio Management
Education
City University of New York-Baruch College
BBA, Finance and Economics
Power Memorial Academy
Maxim Group, LLC January 2010 - Present
Citi February 1987 - December 1990
JPMorgan Chase & Co. July 1976 - January 1987
Skills
Investment Banking, Equities, Emerging Markets, Securities, Private Equity, Investments, Finance, Loans, Capital Markets, Private Placements, Valuation, U.S. Army, Combat Engineer, Demolition, Asset Managment, Investor Relations, Mutual Funds, Portfolio Management
Education
City University of New York-Baruch College
BBA, Finance and Economics
Power Memorial Academy
Mitsutaka Goto's Maxim Group, LLC Experience January 2006 - September 2007
Job U.S. Equity Sales at Nomura Securities/ Fundamenal Research / Bilingual in Japanese and English
Industry Financial Services
Experience
Nomura Securities International, Inc. September 2006 - Present
Maxim Group LLC. January 2006 - September 2007
Altfest Personal Wealth Management 2004 - 2004
Skills
Investments, Equity Research, Equities, Hedge Funds, Financial Markets, Capital Markets, Bloomberg, Asset Allocation, Mutual Funds, Portfolio Management, Financial Modeling
Education
Pace University - Lubin School of Business 2002 — 2005
Master of Business Administration (MBA), Investments and Securities
Chuo University 1998 — 2002
Bachelor of Commerce (BCom)
Nomura Securities International, Inc. September 2006 - Present
Maxim Group LLC. January 2006 - September 2007
Altfest Personal Wealth Management 2004 - 2004
Skills
Investments, Equity Research, Equities, Hedge Funds, Financial Markets, Capital Markets, Bloomberg, Asset Allocation, Mutual Funds, Portfolio Management, Financial Modeling
Education
Pace University - Lubin School of Business 2002 — 2005
Master of Business Administration (MBA), Investments and Securities
Chuo University 1998 — 2002
Bachelor of Commerce (BCom)
Stanley Beckerman's Maxim Group, LLC Experience June 2013 - June 2014
Job Sr. VP, Municipal Sales at Intercoastal Capital Markets
Industry Financial Services
Experience
Intercoastal Capital Markets June 2014 - Present
Maxim Group, LLC June 2013 - June 2014
R. Seelaus & Co. October 2009 - March 2013
J. B. Hanauer & Co. July 1996 - October 2009
JB Hanauer & Co 1996 - 2009
Lehman Brothers September 1980 - July 1996
Skills
Fixed Income, Series 63, Investments, Wealth Management, Securities, Series 7, Mutual Funds, Finance, Portfolio Management, Capital Markets, Bloomberg, Bonds, Asset Management, Trading
Education
City University of New York-Queens College 1965 — 1970
BA
Intercoastal Capital Markets June 2014 - Present
Maxim Group, LLC June 2013 - June 2014
R. Seelaus & Co. October 2009 - March 2013
J. B. Hanauer & Co. July 1996 - October 2009
JB Hanauer & Co 1996 - 2009
Lehman Brothers September 1980 - July 1996
Skills
Fixed Income, Series 63, Investments, Wealth Management, Securities, Series 7, Mutual Funds, Finance, Portfolio Management, Capital Markets, Bloomberg, Bonds, Asset Management, Trading
Education
City University of New York-Queens College 1965 — 1970
BA
Anthony Petrone, CFA's Maxim Group, LLC Experience 2004 - 2010
Job Vice President Equity Research at Jefferies & Company
Industry Research
Experience
Jefferies & Company 2010 - Present
Maxim Group LLC 2004 - 2010
First Investors 2002 - 2004
Skills
Equity Research, Capital Markets, Valuation, Financial Modeling, Equities, Investment Banking, Finance, Financial Analysis, Private Equity, Hedge Funds, Bloomberg, Portfolio Management, Due Diligence, Fixed Income
Education
Columbia Business School 2009 — 2011
Master of Business Administration (MBA), Accounting and Finance
Columbia University in the City of New York 2009 — 2011
Master of Business Administration (MBA), Finance, General
Pace University
Bachelor of Business Administration (BBA), Finance
Jefferies & Company 2010 - Present
Maxim Group LLC 2004 - 2010
First Investors 2002 - 2004
Skills
Equity Research, Capital Markets, Valuation, Financial Modeling, Equities, Investment Banking, Finance, Financial Analysis, Private Equity, Hedge Funds, Bloomberg, Portfolio Management, Due Diligence, Fixed Income
Education
Columbia Business School 2009 — 2011
Master of Business Administration (MBA), Accounting and Finance
Columbia University in the City of New York 2009 — 2011
Master of Business Administration (MBA), Finance, General
Pace University
Bachelor of Business Administration (BBA), Finance
Kevin Caldwell's Maxim Group, LLC Experience February 2007 - August 2007
Job Recruiting at Rutgers Football
Industry Sports
Experience
Rutgers Football August 2013 - Present
Rutgers Football August 2009 - Present
Rutgers Football June 2008 - July 2009
Maxim Group, LLC February 2007 - August 2007
Mailcon, LLC January 2006 - February 2007
Education
Rutgers University 2002 — 2007
Bachelor of Science, Environmental Planning and Design
Rutgers Football August 2013 - Present
Rutgers Football August 2009 - Present
Rutgers Football June 2008 - July 2009
Maxim Group, LLC February 2007 - August 2007
Mailcon, LLC January 2006 - February 2007
Education
Rutgers University 2002 — 2007
Bachelor of Science, Environmental Planning and Design