Nomura Securities International, Inc.
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Nomura Securities International, Inc. Employees
Rold Rite Sushi & More July 2010 - March 2015
Angel Oak Capital Advisors, LLC 2011 - 2011
Ocwen March 2008 - May 2009
Terminus Asset Management Company, LLC February 2007 - November 2007
SunTrust Capital Markets, Inc. June 2006 - February 2007
ING Investment Management January 2002 - May 2006
Banc One Capital Markets, Inc. January 1998 - August 2001
KPMG September 1996 - December 1997
Nomura Securities International, Inc. May 1992 - July 1994
Skills
Portfolio Management, New Business Development, Business Strategy, Small Business, Financial Analysis, Financial Modeling, Valuation, Fixed Income, Asset Managment, Capital Markets, MBS, ABS, ServSafe, Structured Products, Securitization, Investments, Securities, Trading, Due Diligence, Finance, Credit, Financial Services, Mortgage Lending, Residential Mortgages, Hedging, Start-ups, Asset Management, Management, Investment Banking, Leadership, Structured Finance, Strategy, Analysis
Education
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 1994 — 1996
MBA
University of Notre Dame 1988 — 1992
BBA
GLRHS 1984 — 1988
High School Diploma
Optionshop August 2012 - November 2013
Nomura Securities International, Inc July 1999 - December 2007
Interim Technology January 1999 - July 1999
MidAmerica Commodity Exch., Chicago Board of Trade June 1996 - December 1998
Kemper Securities 1994 - 1996
Fuji Securities Inc. 1985 - 1994
Skills
Options, Electronic Trading, Trading, Fixed Income, Derivatives, Financial Markets, Capital Markets, Securities, Trading Systems, Hedging, Trading Strategies, Investments, Bloomberg, Proprietary Trading, Portfolio Management, Technical Analysis, Alternative Investments, Volatility, Market Making, Valuation, Financial Analysis, Swaps, Equities, Brokerage, Commodity, Market Data, Risk Management, Asset Allocation, FINRA, Hedge Funds, Quant, Investment Advisory, Programming, Risk, FX, Commodities, Arbitrage, Program Trading, Asset Management, Eurex, Compliance, CME, Salesforce Administrator, Zendesk Administrator, Google Apps..., Software Quality..., Customer Onboarding, Software Development
Education
DePaul University
Computer Science
DePaul University - Institute for Professional Development
Artificial Intelligence Program
Hinsdale Central
Hinsdale Central
University of Illinois at Chicago
Economics
Small Business Federal Government Contracting April 1991 - Present
U.S. Department of State 1963 - 2012
US Consulate General São Paulo February 1982 - September 1984
Nomura Securities International, Inc. January 1970 - February 1982
Skills
Mergers, Localization, Website Localization, Intercultural..., Multilingual, Legal Translation, International Relations, Spanish, Research, Policy Analysis, Management, Editing, Politics, Analysis, English, Social Media, Strategic Planning, International...
Education
Columbia University Graduate School of Business 1960 — 1962
MBA, International Business
Columbia University in the City of New York 1959 — 1960
MA, Portuguese
Yale University
Bachelor of Arts (B.A.), History
Nomura Securities International, Inc. June 2015 - Present
Bank of America Merrill Lynch May 2014 - July 2014
Goldman Sachs June 2013 - August 2013
Keppel Integrated Engineering Limited June 2012 - August 2012
Accenture June 2011 - August 2011
HSR International Realtors Pte Ltd 2010 - 2010
Skills
Strategy, Corporate Development, Microsoft Excel, Research, PowerPoint, Microsoft Office, Financial Analysis, Economics, Financial Modeling, Data Analysis, Investment Banking, Corporate Finance, Market Research, Mergers & Acquisitions
Education
Cornell University 2010 — 2014
Dual Degree: Bachelor of Arts (BA) and Bachelor of Science (BSc), Triple Major: Economics, Statistical Science, Operations Research, Magna Cum Laude; Dean's List
Raffles Junior College
Decor Aid 2014 - Present
Who Can Fix My Car December 2010 - Present
Millennium Partners May 2012 - May 2013
Nomura Securities International, Inc. April 2010 - March 2012
Nomura International PLC November 2008 - March 2010
Lehman Brothers Limited July 2003 - November 2008
Skills
Derivatives, Credit Derivatives, Hedge Funds, Trading, Structured Products, Options, Credit, Fixed Income, Financial Risk, Alternative Investments, Portfolio Management, Bloomberg, Market Making, Financial Markets, CDS, Macro, Trading Strategies, Emerging Markets, Managing Employees, Risk Management, Credit Risk, Fixed Income Trading, Electronic Trading, Building Relationships, FX Options, Bonds, Interest Rate..., Selling, Cross Selling, Equities, High Yield, Capital Markets, Investment Banking, CDO, Rates, Angel Investing, Start-ups, Private Equity, Buy-side, Equity Derivatives, Asset Management, Volatility, Networking, Public Speaking, Sales, Management
Education
HHL - Leipzig Graduate School of Management 2001 — 2003
Dipl.-Kfm., Entrepreneurship, Operations Management, Financial Management and Banking
Julius-Maximilians-Universität Würzburg 1998 — 2001
Vordiplom, Business Administration and Management, General
Student Organizers of Atlanta January 2006 - Present
AIP Organizing Solutions January 2003 - Present
Marcus Jewish Community Center February 2002 - December 2004
Nomura Securities International, Inc January 1993 - January 1994
Merrill Lynch February 1991 - July 1993
AT&T January 1988 - January 1989
CBM Automated Systems, Inc January 1987 - June 1988
Arthur Andersen & Co August 1985 - April 1987
Skills
Project Planning, Curriculum Design, Adults, Non-profits, Public Speaking, Leadership Development, Coaching, Event Planning, Teaching, Small Business, Strategic Planning, Event Management, Social Media, Program Development, Personal Development
Education
Columbia University, Teachers College 1989 — 1990
M.A, Organizational Psychology
Carnegie Mellon University 1981 — 1985
B.S, Information Systems and Business
New York City Center August 2013 - October 2014
Patron Technology June 2011 - August 2013
Frankel Green Theatrical Management October 2010 - June 2011
The Pen and Brush, Inc December 2005 - September 2010
Barnes & Noble SparkNotes June 2006 - August 2006
The Actors' Fund of America April 2005 - October 2005
Nomura Securities International, Inc November 2003 - March 2005
Baptiste Power Yoga Institute June 2002 - June 2003
Manisses Communications Group November 2001 - February 2002
Skills
Database Administration, Salesforce.com
Education
Brown University 1997 — 2001
B.A.
Deutsche Bank November 2006 - Present
Barclays Capital August 2000 - November 2006
Nomura Securities International, Inc October 1997 - August 2000
Education
New York University 2002 — 2004
MS, Real Estate Finance
Boston College
Bachelor of Arts, Major History
Nomura Securities International, Inc. February 2009 - Present
Nomura Securities International, Inc. January 2012 - August 2013
Dresdner Kleinwort Securities LLC December 1998 - January 2009
Skills
Equities, Securities, Trading, Settlement, Derivatives, Capital Markets
Education
Kutztown University of Pennsylvania
B.S, Business Administration; Minor in International Business
RBC June 2014 - Present
Nomura October 2010 - June 2014
Toyota June 2004 - September 2010
CIBC May 2003 - April 2004
Nomura Securities International, Inc. December 1997 - March 2003
Bank of America September 1994 - June 1998
Skills
Derivatives, Capital Markets, Structured Finance, Securitization, Financial Structuring, Valuation, Hedging, Swaps, Securities, Funding, Loans, CDO, Quantitative Investing, Financial Analysis, Financial Modeling, Excel/VBA, VB.NET, C#, Trading, Fixed Income
Education
University of California, Berkeley, Haas School of Business 1992 — 1994
M.B.A., Finance
Brown University 1978 — 1982
B.A., Chemistry
Deutsche Bank July 2010 - Present
NOMURA SECURITIES INTERNATIONAL, INC. October 1997 - March 2010
LIZ CLAIBORNE INC. 1994 - 1997
STERLING WINTHROP INC., New York, NY 1989 - 1994
Skills
Trading Systems, Data Center, WAN, Integration, VoIP, Equities, Project Management, Strategy, Mentoring, Vendor Management, Cisco Technologies, SDLC, Unix, Business Analysis, Disaster Recovery, ITIL, Networking, Capital Markets, Business Continuity, Market Data, IT Strategy, Network Design, Fixed Income, IT Management, Enterprise Architecture, Infrastructure, Network Administration, Reference Data
Education
New York University - Polytechnic School of Engineering
Chemical Engineering
Epiq Systems July 2010 - Present
M.J. Beck Consulting October 2009 - July 2010
EcoMedia April 2008 - October 2009
NY/NJ Baykeeper April 2006 - April 2008
Nomura Securities International, Inc. December 2005 - April 2006
Skills
Land Use, Litigation, Energy Efficiency, Environmental Issues, Strategic Planning, Due Diligence, Cleantech, Non-profits, Energy Policy, Research, Global Warming, Legal Writing, Litigation Support, Environmental Policy, Contract Negotiation, Corporate Law, Government
Education
Thomas Jefferson School of Law 2002 — 2005
JD, Environmental Law Emphasis
University of California, Santa Barbara 1998 — 2002
BA, Environmental Studies
Marex North America, LLC November 2010 - Present
HSBC Securities April 2010 - December 2010
Deutsche Bank Securities July 2004 - April 2009
Nomura Securities International, Inc January 1994 - June 2004
Alaron Trading 2003 - 2004
First Options of Chicago September 1991 - January 1994
Refco January 1984 - August 1991
Des Plaines Publishing Company January 1982 - January 1984
Skills
Forecasting, Options, Financial Risk, Trading Systems, Back Office, Risk Management, Financial Services, Commodity, Equities, Confirmation, Insurance, Trading, Brokerage, Electronic Trading, Account Reconciliation, Fixed Income, FX Options, Derivatives, Business Analysis, Operations Management, Mergers, Deliveries, Management, Loan Servicing, Securities, Hedge Funds, Technical Analysis, Financial Markets, Marketing, Asset, Portfolio Management, CRM, Lotus Notes, ETFs, Finance, Asset Allocation, Sales, Business Process..., Euroclear, Settlement, Middle Office, Equity Derivatives, Capital Markets, Investment Banking, Equity Trading, Bonds
Education
Essex County College 2009 — 2011
Pre Engineering
Northern Illinois University 1977 — 1982
Bachelor of Science, Journalism
Reavis High School 1973 — 1977
Stephens Inc. April 2004 - Present
Merrill Lynch April 1999 - September 2002
Nomura Securities International, Inc. January 1998 - April 1999
Nomura Securities International, Inc. May 1994 - December 1997
AgriCapital Corporation July 1993 - May 1994
Kidder, Peabody & Co. Incorportaed August 1989 - June 1991
Skills
Investment Banking, Capital Markets, Mergers & Acquisitions, Equities, Structured Finance, Investments, Private Placements, Finance, Financial Advisory, Equity Capital Markets
Education
Massachusetts Institute of Technology - Sloan School of Management 1991 — 1993
Master of Business Administration (M.B.A.), Finance
Northwestern University 1985 — 1989
Bachelor's Degree, History and Asian Studies
Phillips Exeter Academy 1982 — 1985
High School
Credit Suisse May 2001 - February 2014
META Group May 2000 - May 2001
Nomura Securities International Inc July 1997 - May 2000
Skills
Bloomberg, Factiva, Financial Market..., Market Data, Financial Services, Financial Research, ThomsonOne, Investment Banking, Management, Business Analysis, Capital IQ, Program Management, Databases, Analysis, Training, Banking
Education
Pratt Institute 1995 — 1997
M.S., Library and Information Science
Framingham State University
M.S., Nutrition
Syracuse University
B.A., Sociology
BMO Financial Group November 2014 - Present
Deutsche Bank March 2014 - November 2014
Morgan Stanley December 2013 - March 2014
Nomura Securities International 2010 - 2013
Deutsche Bank 2007 - 2010
Deutsche Bank 2006 - 2007
Deutsche Bank 2003 - 2006
CIBC World Markets Corp. 2000 - 2003
ING 2000 - 2000
Nomura Securities International, Inc. 1998 - 2000
Skills
Controlling, Equities, Securities Lending, Prime Brokerage, Swaps, Middle Office, Bloomberg, Hedge Funds, Series 7, Excel, Customer Relations, VBA, Access, Securities, Fixed Income, Derivatives, Trading, Microsoft Excel
Education
Rutgers, The State University of New Jersey 1992 — 1996
BS, Accounting / Statistics
JPM Core 1997 — 1997
Finance
HSBC Securities (USA), Inc. November 2013 - Present
Nomura Securities International Inc. April 2011 - November 2013
Barclays Capital December 2009 - April 2011
Goldman Sachs International April 2007 - May 2008
Merrill Lynch October 2003 - April 2007
Skills
AML, KYC, Sanction, Due Diligence, MiFID, Analysis, Policy, User Acceptance Testing, Management, Hedge Funds, Correspondent Banking
Education
Providence College 1999 — 2003
Bachelor's degree, Finance, General
Empire Auto Recovery, Inc. February 2013 - Present
Fujirebio Diagnostics, Inc. May 2012 - January 2013
Abbott Laboratories, Inc. October 2005 - March 2010
PDI Pharmaceutical, Inc. March 2003 - December 2004
Williams Communications December 2000 - March 2002
Cox Communications Inc October 1998 - October 2000
Nomura Securities International, Inc November 1993 - October 1998
Merrill Lynch & Co November 1990 - November 1993
Skills
Medical Devices, Gastroenterology, Pharmaceutical Industry, Healthcare, Oncology, Hospitals, Pharmaceutical Sales, OB/GYN, Cardiology, Clinical Research, Sales Management, Selling, Managed Care, Sales Effectiveness, Account Management, Product Launch, Hardware Diagnostics, Leadership, Endocrinology, Sales
Education
Long Island University
Bachelor of Science, Finance, 3.5
Basalt Capital LLC March 2008 - Present
SWS Securities, Inc. April 2001 - March 2008
Cargan Investment Management January 1999 - April 2001
Nomura Securities International Inc September 1993 - January 1999
CBRE September 1989 - September 1993
WDCW 97.7 FM September 1987 - June 1988
ComputerLand Inc. September 1983 - August 1987
Skills
Capital Markets: Fixed..., Investment Banking, Structured Finance, Strategic Business..., Sales & Marketing, CMBS Portfolio..., ABS/CMBS Sales and..., Public Speaking, Credit, Portfolio Management, Investments, CMBS, Capital Markets
Education
University of Missouri-Columbia 1983 — 1987
FCE Group, Inc. 2014 - Present
Piermont/FWM 2009 - 2014
Goldman Sachs 2001 - 2009
Nomura Securities International, Inc. 1998 - 2001
NatWest Markets 1997 - 1998
Arnhold and S. Bleichroeder 1994 - 1996
The Wharton School 1993 - 1994
Education
University of Pennsylvania - The Wharton School
Nomura securities International inc 2009 - 2009
deutsche 1997 - 2008
deutsche 1997 - 2008
Deutsche Bank Securities 1987 - 2008
Shearson 1984 - 1987
Education
Queens College
B A
JPMorgan Chase April 2013 - Present
JP Morgan Chase July 2010 - April 2013
Deutsche Bank April 2007 - January 2009
Nomura Securities International, Inc 2005 - 2006
Bloomberg 1997 - 2004
Education
Princeton Theological Seminary 2013 — 2016
Master's Degree
Fordham Gabelli School of Business 1999 — 2001
MBA, Finance, Accounting
CFA Institute 2002 — 2004
CFA Charterholder
Western Illinois University
Bachelor in Business, Finance, Economics
PJCC
Nomura Securities International Inc. July 2014 - Present
UBS Investment Bank March 2011 - February 2013
Steelbro International Co., Inc. June 2007 - March 2011
Steelbro International Co., Inc. June 2002 - May 2007
Essar Commvision Ltd. (Now Vodafone Essar Cellular Limited) June 1996 - May 2000
Skills
Emerging Markets, Investment Banking, Banking, Financial Modeling, Interational business, Metal Trading, Business Strategy, Commodity, International Trade, Metals, Outsourcing, Offshore Outsourcing, BPO, KPO, Credit Analysis, Leveraged Finance, Trade Finance, Trading, Mergers, Corporate Finance, Mergers & Acquisitions, Business Development, Finance, LBO, Risk Management
Education
Columbia University - Columbia Business School 2009 — 2011
MBA, Finance & Strategy
London Business School 2009 — 2011
MBA, Finance & Strategy
New York University 2007 — 2008
International Business & Finance, International Business
R.A. Podar Institute of Management, University of Rajasthan, Jaipur 1994 — 1996
MBA, Marketing & Finance
Guru Nanak Dev University 1991 — 1994
Bachelor of Commerce, Accounting & Economics
Mitsubishi UFJ Securities (USA), Inc September 2008 - Present
Nomura Securities International, Inc September 1997 - September 2008
JPMorgan Chase September 1994 - September 1997
Education
City University of New York
Master of Science (MS), Management Information Systems
New York University (formerly Polytechnic University)
Bachelor of Science (B.S.), Electrical Engineering, minor in Computer Science
- Project Manager/ Business AnalystFinancial Industry Technical Services, Inc.- Citibank Broadridge MigrationNovember 2010 - June 2013
Financial Industry Technical Services, Inc.-TD Ameritrade Functional Gap Analysis August 2010 - October 2010
Financial Industry Technical Services, Inc.-Lehman Brothers Liquidation December 2008 - July 2010
Financial Industry Technical Services, Inc.-Credit Suisse- Private Banking Transformation Project March 2008 - June 2010
Financial Industry Technical Services, Inc.-Royal Bank Canada March 2008 - November 2008
Financial Industry Technical Services, Inc.-CheckFree January 2008 - March 2008
Nomura Securities International Inc February 2004 - July 2007
Information Catalyst Inc March 2000 - April 2003
Credit Lyonnais Securities (USA), INC December 1998 - October 1999
Barclays Capital Inc May 1998 - December 1998
Skills
PowerPoint, Microsoft Excel, Customer Service, Microsoft Office, Microsoft Word, Project Management, Analysis, Management, Budgets, Operations Management, Finance, Training, Leadership, Team Building, Risk Management, Investment Banking, Business Analysis, Capital Markets, Equities, Financial Services, Fixed Income, Securities, Back Office, Derivatives
Education
Stony Brook University 2013 — 2014
Project Management- studying for PMP
Cure of Ars
Oneonta State College
Business Economics
PennantPark Investment Advisers, LLC October 2012 - Present
Nomura Securities International, Inc. January 2010 - September 2012
CARE Capital Group (Fund of Hedge Funds) March 2004 - January 2010
PricewaterhouseCoopers LLP August 2002 - April 2004
Anchin, Block & Anchin LLP November 2000 - May 2002
KPMG US 1999 - 2000
Skills
Asset Management, Hedge Funds, Hedge Fund Accounting, Hedge Fund Audit, Hedge Fund Tax, Due Diligence, Private Equity, Consolidation, Fixed Income, Hedge Accounting, CLO Accounting, Management Reporting, Compliance, Corporate Consolidation, Business Combinations, Structured Settlements, Business Development..., Small Business..., Accounting, Auditing, Corporate Finance
Education
City University of New York-Queens College
BA, Accounting, Information Systems & Economics
JPMorgan Chase & Co. May 2015 - Present
Goldman Sachs November 2013 - April 2015
JP Morgan Chase March 2008 - November 2013
Bear Stearns May 2007 - March 2008
Nomura Securities International, Inc. June 2005 - March 2007
NASD (k/n/a Financial Industry Regulatory Authority) January 1997 - June 2005
New York State Office of Court Administration June 1992 - January 1997
New York County District Attorney's Office August 1987 - June 1992
Education
SUNY Buffalo School of Law 1984 — 1987
Doctor of Law (J.D.)
Columbia University in the City of New York 1979 — 1983
Bachelor of Arts (B.A.), Political Science
The Browning School
High School
The Browning School
The Browning School
The Browning School
Wolfsberg Academy
Probitas Partners May 2015 - Present
Nomura Securities International Inc. August 2011 - January 2015
Lehman Brothers Holdings Inc. & Barclays Capital Inc. January 2007 - August 2011
Protiviti, Risk & Business Consulting 2005 - 2007
JP Morgan 2002 - 2004
Skills
Capital Markets, Investment Banking, Strategy, Management, Fixed Income, Financial Analysis, Equities, Valuation, Bloomberg, Asset Management, Securities, Corporate Finance, Private Equity, Investments, Derivatives, Internal/External..., Organizational..., Project Management, Hedge Funds, Investment Management, Investor Relations, Marketing, Sales
Education
University of Illinois at Urbana-Champaign - College of Business 1998 — 2002
Bachelor's Degree, Finance Major, French Minor
ESCP Europe 2001 — 2001
Finance, Paris, Study Abroad
Barclays Investment Bank August 2014 - Present
Nomura Securities International, Inc. November 2005 - August 2014
Skills
Series 7, Series 63, Institutional Clients, Client Development, Equity Research, Equity Valuation, US Equities, Bloomberg, Asset Managment, Emerging Markets, Portfolio Management, Asset Management
Education
Sophia University
B.A., Law
The George Washington University
M.A.
One Kings Lane April 2014 - Present
One Kings Lane March 2013 - 2014
Chatham Beach & Tennis Club June 2012 - August 2012
Nomura Securities International, Inc. June 2011 - August 2011
Danielides Communications Inc. August 2010 - September 2010
Tory Burch June 2010 - July 2010
Montclair Art Museum June 2009 - August 2009
Education
Middlebury College 2008 — 2012
Bachelor's degree, English and American Literature & History of Art and Architecture
Oak Knoll School
Cary Street Partners Holdings, LLC July 2015 - Present
Medley Capital, LLC September 2010 - December 2013
Mitsubishi UFJ Financial Group, Inc. September 2007 - March 2010
Nomura Holdings America, Inc. 2002 - March 2007
Nomura Securities International, Inc. 1998 - 2002
Nomura Securities International, Inc. 1996 - 1998
Nomura Securities International, Inc. March 1990 - 1996
Kidder, Peabody & Co., Inc. June 1982 - March 1990
Skills
Fixed Income, Capital Markets, Equities, Investments, Derivatives, Financial Modeling, Private Equity, Trading, Corporate Finance, Banking, Leadership, Bonds, Asset Managment, Bloomberg, Electronic Trading, Asset Management, Investment Banking, Hedge Funds, Options, Financial Markets, Securities, Trading Systems, Alternative Investments, Equity Derivatives, Valuation
Education
New York University 1989 — 1992
Master of Business Administration (MBA), Finance, General
University of Delaware 1978 — 1982
Bachelor of Science (BS), Finance, General
Ultra Pure LLC March 2013 - Present
Law Offices of Floyd G Cottrell August 2011 - February 2013
Law Offices of Lawrence M. Simon June 2001 - September 2010
Nomura Securities International Inc. September 1999 - June 2001
PSEG Energy Holdings December 1997 - September 1999
PSEG August 1995 - December 1997
PSEG April 1992 - July 1995
Skills
Water Testing, Health and Wellness, Holistic Health, Health Education, Organic Products, Sales and Marketing, Microsoft Word, Administrative..., Product Marketing
Education
Felician College 1994 — 2003
Bachelor of Arts, Management and Marketing, 3.67
Fairleigh Dickinson University 2002 — 2002
Paralegal Certificate with Honors, Paralegal, 97
Belleville High School
Katherine Gibbs School
Nomura Securities International, Inc. June 2015 - Present
Lord Abbett May 2011 - June 2015
Lord Abbett 2005 - 2011
Mellon Investor Services 2000 - 2005
Skills
Equities, Financial Services, Fixed Income, Securities, Hedge Funds, Portfolio Management, Asset Management, Investments, Mutual Funds, Bloomberg, Relationship Management, Series 7, Management
Education
Loyola University Maryland
Bachelor of Business Administration (B.B.A.), Finance
Dealogic March 2015 - Present
Tradeweb May 2013 - November 2014
Tradeweb Retail November 2011 - May 2013
DAVID WILLIAM SECURITIES May 2009 - January 2011
HSBC SECURITIES (USA) INC August 2001 - November 2007
MERRILL LYNCH & CO April 2000 - August 2001
PERSHING DIVISION OF DLJ SECURITIES June 1999 - April 2000
NOMURA SECURITIES INTERNATIONAL, Inc October 1994 - December 1998
PRUDENTIAL SECURITES INCORPORATED March 1992 - August 1994
Prudential Securities March 1990 - August 1994
Skills
Fixed Income, Series 63, Investments, Securities, Equities, Bonds, Series 7, Trading, Investment Banking, Finance, Emerging Markets, Capital Markets, Business Development, Bloomberg, Wealth Management, Financial Markets, Marketing, Electronic Trading, FINRA, Trading Systems, Management
Education
University of Scranton 1984 — 1988
B.S, Marketing
UBS Investment Bank August 2012 - Present
RBC Capital Markets October 2009 - August 2012
Nomura Securities International, Inc. June 2009 - October 2009
Merrill Lynch March 2004 - June 2009
Hewlett-Packard October 2001 - March 2004
Dot Hill Systems January 1996 - August 2001
AT&T Bell Laboratories June 1985 - January 1996
Education
University of California, Los Angeles 1986 — 1987
Master of Science, Electrical Engineering
The Johns Hopkins University 1981 — 1985
Bachelor of Science, Electrical Engineering
Norwalk High School 1977 — 1981
ClearFactr May 2013 - Present
Foundation for Teaching Economics January 2013 - Present
SESCO Enterprises, LLC February 2003 - April 2013
Allegheny Energy Global Markets December 2001 - February 2003
iNTELLISHARE, LLC April 2000 - December 2001
Bear Stearns January 1994 - April 2000
Bank One / First National Bank of Chicago May 1990 - December 1993
Shearson Lehman Hutton Asia August 1989 - April 1990
Nomura Securities International, Inc. 1986 - 1989
Skills
Management, Project Management, SaaS, Software Development, Trading Systems, Proprietary Trading, Equity Derivatives, Energy, Electronic Trading, Start-ups, Entrepreneurship, Web Development, Java, C++, Strategic Planning, Derivatives, Enterprise Architecture, Commodity Markets, Risk Management, Financial Modeling, Currency, Business Strategy, Fixed Income, SOA, Quantitative Finance, Application Architecture, Server Architecture, Amazon Web Services..., Options, Large Scale Systems, Market Data, Cloud Computing, Strategy, Application..., Desktop Application..., Desktop Application..., Parallel Computing, Database Design, Relational Databases, NoSQL, Social Entrepreneurship
Education
Carnegie Mellon University 1982 — 1986
BS
SSTK, LLC May 2012 - Present
Nomura Securities International, Inc. 2004 - December 2010
Nomura Securities International 2002 - 2004
Nomura Securities International 1998 - 2002
Sakura Global Capital 1996 - 1997
Merrill Lynch 1994 - 1996
Grumman Aerospace 1986 - 1994
Skills
Electronic Trading, Trading Systems, Sybase, Equities, Equity Derivatives, Derivatives, Fixed Income, Program Trading, Equity Trading, Options, Proprietary Trading, Capital Markets, Bloomberg, Trading, Ruby, Market Data, Investment Banking, Low Latency, Financial Markets
Education
Hofstra University
MBA, Finance
New York University - Polytechnic School of Engineering
MS, Computer Science
Wellington Management November 2014 - Present
Russell Reynolds Associates June 2014 - November 2014
T. Rowe Price January 2008 - June 2014
Old Mutual April 2007 - January 2008
Nomura Securities International, Inc. September 2003 - February 2007
Credit Suisse August 1998 - September 2003
Citi (formerly Salomon Smith Barney) March 1997 - August 1998
Education
Rutgers University-New Brunswick 1992 — 1996
B.A., History, Spanish
Barclays Capital July 2011 - Present
Credit Suisse Securities (USA) LLC September 2006 - June 2011
Credit Suisse August 2010 - October 2010
Pershing, LLC February 2001 - September 2006
Pershing LLC February 2001 - November 2002
Management Training Program July 2000 - February 2001
Nomura Securities International, Inc May 1999 - August 1999
Skills
Fixed Income, Trading, Emerging Markets, Private Banking, Bonds, Strategy, Series 7, Investments, High Yield, Credit, Capital Markets, Relationship Management, Hedge Funds, Bloomberg, Derivatives, Equities, FX Options, Series 63, Structured Products
Education
SIFMA Securities Industry Institute @ Wharton Business School 2010 — 2011
Financial Industry Studies
Lehigh University 1996 — 2000
Bachelors of Science, Finance
Nomura Securities May 2011 - Present
Nomura Holdings America July 2009 - May 2011
Commerzbank AG June 2007 - July 2009
Nomura Securities International, Inc. September 1996 - December 2006
Skills
Credit analysis for..., Latin America
Education
Thunderbird School of Global Management 1981 — 1982
MIM, International Finance
University of Kansas 1978 — 1980
Masters, Spanish
Bucknell University 1974 — 1978
Bachelor of Arts (B.A.), Spanish
Morristown High School 1970 — 1974
High School, College Prep
Nomura Securities International, Inc. June 2010 - Present
Akin Bay Company July 2009 - June 2010
HDFC Bank June 2004 - May 2007
Skills
Analysis, Analytics, Banking, Leadership, Financial Modeling, Investments, Valuation
Education
University of Rochester - Simon Business School 2007 — 2009
MBA, Finance & Corporate Accounting
Delhi University
B.Sc., Mathematics, Physics, Chemistry
Huma Business Intelligence Ltd December 2014 - Present
RA Consulting Services,LLC April 2014 - November 2014
Mitsubishi UFJ Securities USA,Inc. 2008 - 2013
Nomura Securities International, Inc. 2001 - 2007
Nomura Securities International, Inc. 2000 - 2001
Nomura Securities International, Inc. 1995 - 1999
Nomura Securities International, Inc. 1993 - 1995
Skills
Equities, Fixed Income, Capital Markets, Derivatives, Investment Banking, Trading Systems, Middle Office, Prime Brokerage, Electronic Trading, Trading, FX Options, Structured Products, Risk Management, Valuation, Bloomberg, Alternative Investments, Corporate Finance, Asset Managment, Change Management, Interest Rate..., Operational Risk, Fund Of Funds, Back Office, Management, Securities Lending, Outsourcing, Business Analysis, Investments, Financial Services, Market Data, Credit Derivatives, Corporate Actions, Securities, Settlement, Financial Markets, Options, Swaps, Funding, Emerging Markets, Equity Derivatives, Bonds, Collateral Management, Asset Management
Education
Pace University-New York
Liberal Arts and Sciences/Liberal Studies
Queens College
Liberal Arts and Sciences/Liberal Studies
The Jacobson Group December 2014 - Present
MTL Insurance Company August 2014 - Present
TIAA-CREF February 2014 - Present
SCOR May 2011 - July 2013
Swiss Reinsurance Company June 2009 - January 2011
FSA- Financial Securities Assurance September 2008 - March 2009
Nomura Securities International, Inc 2005 - 2008
Prudential Financial August 2001 - May 2005
Prudential Financial June 2000 - August 2001
Prudential Insurance June 1997 - August 2001
Skills
Financial Reporting, IFRS, Internal Controls, US GAAP, Financial Analysis, Financial Statements, Accounting, GAAP, Internal Audit, General Ledger, Account Reconciliation, Consolidation, Finance, Variance Analysis, Fixed Assets, External Audit, Statutory Accounting, CPA, SEC filings, Sarbanes-Oxley Act, Financial Services, Sarbanes-Oxley, Auditing, Enterprise Risk..., Financial Accounting, Insurance, Strategic Financial..., Financial Audits, Tax, Accruals, Financial Risk, Corporate Finance, Due Diligence, Financial Modeling, Managerial Finance, Balance, Reinsurance, Mergers & Acquisitions, Accounts Payable, Risk Management, Forecasting, Accounts Receivable, PeopleSoft, Financial Planning, SEC Filings
Education
Ramapo College of New Jersey 1987 — 1990
BS, Accounting
Nomura Securities International, Inc. 2009 - Present
Alliance Bernstein June 2007 - June 2009
Bank of America Securities August 2006 - June 2007
Deutsche Bank February 1998 - August 2006
Bear Stearns February 1997 - February 1998
J P Morgan September 1995 - February 1997
Infosys June 1994 - August 1995
Skills
Trading Systems, Quantitative Analysis, Equity Trading, Portfolio Optimization, Trading Strategies, Trading, Quantitative Analytics, Interest Rate..., Derivatives, Electronic Trading, Equities, Market Data, Market Making, Statistical Arbitrage, Program Trading, Prime Brokerage, Options, Securities Lending, Equity Derivatives, Commodity, FX Options
Education
Indian Institute of Technology, Delhi 1990 — 1994
Kendriya Vidyalaya
Nomura Securities International, Inc April 2009 - Present
Barclays Capital September 2008 - April 2009
Lehman Brothers July 2006 - September 2008
Banc of America Securities January 2005 - June 2006
Riskware Systems Inc. December 1996 - December 2005
Dresdner Kleinwort Benson 1998 - 1998
Natwest Markets March 1994 - February 1997
Sanwa Financial Products March 1993 - March 1996
Ziff Desktop Information July 1992 - February 1993
MITRE Corporation September 1990 - August 1992
Education
New York University - Leonard N. Stern School of Business 1995 — 1998
Stony Brook University 1986 — 1990
BSEE
Nomura Securities International, Inc. November 2014 - May 2015
JPMogan Chase & Co. June 2001 - November 2014
Mitsui & Co. (USA) Inc. October 2000 - June 2001
Itochu International Inc. May 2000 - October 2000
Marsh & McLennan Co. August 1996 - May 2000
Skills
Bonds, Treasury, Cash Management, Trading, Financial Reporting, Accounting, Securities, Capital Markets, Microsoft Excel, Fixed Income, PowerPoint, Equities, Outlook, Interest Rate Swaps, Hedge Funds, Derivatives, Bloomberg, Emerging Markets, Banking, Financial Risk, TriOptima TriReduce, Latin America Product..., Coupon Calculations, Multiple Rate Indexes, Adhoc Trade Flows, Analytical, Team Builder, Bilingual..., MarkitWire
Education
Berkeley College 1998 — 2000
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General
Berkeley College 1993 — 1995
Associate of Applied Sciences, Accounting
UBS Investment Bank May 2006 - Present
Eurohypo AG June 2005 - May 2006
Nomura Securities International, Inc. July 2003 - June 2005
Education
Columbia University - Columbia Business School 2010 — 2011
MBA
Cornell University 1999 — 2003
Bachelor of Arts (BA)
Trinity 1996 — 1999
High School
Nomura Securities International, Inc. AssociateNomura Global Financial Products Inc.May 2004 - June 2007
Education
Hamilton College 1999 — 2003
New York University - Leonard N. Stern School of Business
North Yarmouth Academy
Goldman Sachs July 2007 - Present
Weichert Referral Associates October 2005 - Present
Nomura Securities International, Inc. June 2001 - March 2007
The Bank of New York January 1998 - June 2001
United States District Court, Southern District of New York January 1990 - April 1997
Skills
Negotiation, Dispute Resolution, Financial Services, Fixed Income, Real Estate, Risk Management, Securities, Social Media, Event Planning, Microsoft Office
Education
Rutgers, The State University of New Jersey-Newark 1992 — 1996
MPA, Public Administration
Hampton University 1985 — 1989
BA, Political Science
Bryan Cave LLP May 2006 - January 2010
SoftSheen-Carson (a division of L'Oreal USA) January 2005 - September 2005
Unilever Bestfoods NA March 2001 - December 2004
Nomura Securities International, Inc September 1997 - February 2000
Skills
Outlook, Spanish, Microsoft Office, Access, Lotus Notes, Project Management, Quickbooks, InDesign, Illustrator, Adobe Creative Suite, InfoPath, PowerPoint, Word, Excel, Photoshop, Adobe Acrobat, Internet Explorer, Mac, Spreadsheets, Administrative Support, HTML 5, CSS3, jQuery, JavaScript, WordPress, Dreamweaver
Education
Bergen Community College 2004 — 2004
Certificate
Bergen County Technical School 1994 — 1994
Certificate
Universidad Nacional Pedro Henríquez Ureña 1984 — 1987
A.A.S.
Nomura Securities International, Inc. Vice President, Compliance DepartmentCredit Suisse First BostonJanuary 1997 - August 2001
Salomon Brothers 1993 - 1997
Education
Fordham Gabelli School of Business 1992 — 1995
Nomura April 2015 - Present
Nomura Securities International, Inc. July 2010 - Present
L Capital Partners 2007 - 2010
National Financial Partners 2003 - 2007
Hovey, Youngman Associates 2000 - 2003
Skills
Microsoft Excel, Visio, Equities, Investment Banking, Microsoft Office
Education
Coe College 1993 — 1997
Bachelor of Arts (B.A.), English Language and Literature/Letters
Nomura Securities April 2013 - Present
Nomura Securities International, Inc. April 2010 - March 2013
Nomura Securities International, Inc. October 2008 - March 2010
Banc of America Securities July 2001 - January 2008
Banc of America Securities 2001 - 2008
Skills
Capital Markets, Investment Banking, Fixed Income, Portfolio Management, Corporate Finance, Investments, Securities, Bonds, Private Placements
Education
Bucknell University 1997 — 2001
Illumination Asset Management, LLC July 2012 - Present
Dalton Investments March 2008 - June 2012
Countrywide Securities Corporation February 2002 - February 2008
Nomura Securities International, Inc. August 2001 - February 2002
Ocwen 1997 - 2001
Skills
Hedge Funds, Fixed Income, MBS, Capital Markets, Asset Managment, Portfolio Management, Valuation, Investments, ABS, Securitization, Alternative Investments, Financial Modeling, Equities, Structured Products, Investment Banking
Education
The College of William and Mary - Marshall Wythe Law School 1993 — 1996
JD
University of Pittsburgh 1989 — 1993
BA, Political Science, Philosophy and Economics
New York, New York 2012 - Present
Standard & Poor's 2010 - 2012
RRMS ADVISORS 2008 - 2010
Nomura Securities International, Inc. 2002 - 2008
Moody's Investors Servicer 1998 - 2002
Skills
Global Regulatory..., Fixed Income, Securitization, Due Diligence, Transaction Management, Process Management, Project Management, Relationship Management, Relationship Management..., Residential Mortgages, Mortgage Lending, Department Building, Winding down departments, Loans, Leadership, Operations Management, Structured Finance, Microsoft Office, Visio, Trading, Financial Analysis, Equities, Financial Structuring, Loan Origination, Program Management, Banking, Credit Risk, Bonds, Derivatives, Financial Services, Risk Management, Securities, Credit, Bloomberg, MBS, Hedge Funds, Investments, Investment Banking, Financial Markets, Mentoring, Options, Private Equity, ABS, Credit Analysis, Funding, Structured Products, Financial Institutions, Investor Relations, Financial Risk, Alternative Investments
Education
St. Francis College
Bachelor's degree, Psychology, 4.0
St. John's University in New York
Cranbury Township School Dist July 2015 - Present
Hainesport Township School District August 2013 - June 2015
Nomura Securities International, Inc. April 2013 - August 2013
Nomura Securities International, Inc. April 2011 - March 2013
Bank of America Merrill Lynch January 2010 - April 2011
Banc of America Securities LLC July 2008 - December 2009
Rider University May 2007 - July 2008
New Jersey State Police June 2003 - May 2006
Education
Rider University 2007 — 2009
Master of Business Administration, Management
Rider University 2003 — 2007
Bachelor of Science in Business Administration, Computer Information Systems, Management & Leadership
GS Gamma Advisors, LLC, a subsidiary of Guggenheim Partners April 2010 - Present
Deutsche Bank Securities May 2007 - January 2010
Barclays Capital October 2006 - April 2007
Nomura April 1998 - September 2006
Nomura Securities International, Inc 1998 - 2006
HSBC Securities June 1993 - March 1998
HSBC 1993 - 1998
HSBC Securities 1993 - 1998
Lehman Brothers December 1991 - January 1993
Skills
MBS, Fixed Income, ABS, Derivatives, Financial Modeling, Residential Mortgages, Investments, Hedge Funds, Structured Finance, Securitization, Bloomberg, Capital Markets, Trading, Structured Products, Swaps, Bonds, Risk Management, Mortgage Lending
Education
Purdue University 1974 — 1978
Master of Science (M.S.), Statistics
SCARSDALE EQUITIES LLC 2008 - Present
DEVI CAPITAL 2006 - 2008
THOMAS CAPITAL GROUP June 1999 - December 2005
NOMURA SECURITIES INTERNATIONAL, INC 1997 - 1998
PEREGRINE BROKERAGE, INC. 1994 - 1997
LADENBURG, THALMANN & CO. INC 1989 - 1994
MOYNIHAN COMMITTEE 1987 - 1988
Skills
Alternative Investments, New Business Development, Distribution Strategies, Lead Generation, Investor Relations, Due Diligence, Client Relations, Corporate Events, Event Planning, Impact Investing, Fundraising, Financial Services, Diversity & Inclusion, Financial Literacy..., Conference Organization
Education
Bentley College - Elkin B. McCallum Graduate School of Business 1985 — 1987
M.B.A., Masters, Business Administration, Finance
Hindu College, Delhi University 1982 — 1985
B.A; Bachelor of Arts, Economics
ME Casa L.L.C. October 2011 - Present
Nomura August 2005 - October 2011
Nomura Securities International, Inc. August 2005 - January 2006
Goldman Sachs January 2004 - August 2005
Skills
Prime Brokerage, Fixed Income, Securitization, Equities, Bloomberg, Middle Office, Derivatives, Back Office
Education
Institute of Culinary Education 2010 — 2011
Culinary Management, Restaurant, Culinary, and Catering Management/Manager
State University of New York at Stony Brook 1993 — 1997
BA, Sociology
Lapides Asset Management, LLC July 2006 - Present
Nomura Securities International, Inc August 2004 - July 2006
Safra National Bank 2000 - 2002
Banorte Securities International, Inc. 1997 - 2000
Serfin Securities, Inc. 1992 - 1997
Reich & Tang Funds 1982 - 1992
AG Becker 1978 - 1982
Skills
Hedge Funds, Equities, Alternative Investments, Financial Analysis, Fixed Income, Capital Markets, Securities, Derivatives, Financial Markets, Investment Banking, Asset Management
Education
Adelphi University 1994 — 1996
MBA, Finance
St. Francis College 1980 — 1984
BS, Special Studies
State University of New York College of Agriculture and Technology at Cobleskill 1974 — 1976
AAS
DLR Partners, LLC 2013 - Present
Auda 2006 - 2013
Newfield Partners 2005 - 2005
Inaltra Capital Management, Inc. 2003 - 2004
Credit Suisse Capital Management, LLC/ formerly DLJ Asset Management, Inc. 1998 - 2003
Smith Barney, Inc. 1987 - 1997
Nomura Securities International, Inc. 1982 - 1987
Other 1975 - 1982
Skills
Alternative Investments, Hedge Funds, Private Equity, Asset Management, Investments, Fixed Income, Equities, Derivatives, Fund Of Funds, Capital Markets, Portfolio Management, Mutual Funds
Education
New York University, Graduate School of Business Administration
Master of Business Administration (MBA)
Stanford University
BA, History
Credit Suisse August 2011 - Present
Nomura Securities International, Inc. May 2010 - July 2011
Nomura Holding America Inc. 2006 - May 2010
Skills
Equities, Derivatives, Securities, Trading
Education
Old Dominion University
Pace University - Lubin School of Business
BS, Economics
Nomura Securities International, Inc. February 2010 - October 2012
Bear, Stearns & Co. Inc. November 2000 - June 2008
Clifford Chance September 1998 - November 2000
Education
Georgetown University Law Center 1995 — 1998
JD
University of California, Santa Barbara 1991 — 1995
BA, Literature; Law & Society
Societe Generale July 2013 - Present
Nomura Securities International, Inc. August 2010 - July 2013
Barclays Capital Inc July 2009 - August 2010
Barclays Capital Inc October 2008 - June 2009
Lehman Brothers October 2003 - September 2008
Skills
Fixed Income, Hedge Funds, Derivatives, Capital Markets, Investment Banking, Middle Office, Bloomberg, Equities, Securities, Prime Brokerage, Risk Management, Trading Systems, Equity Derivatives, Portfolio Management, Swaps, Series 7, Structured Products, Credit Derivatives, Bonds, KYC, FX Options, Asset Management, Mutual Funds, CDS, Commodity, Foreign Exchange, Securities Lending, Options, Interest Rate..., Relationship Management, GMRA, Lines Of Credit, Dodd-Frank, Series 63, ISDA, ISDA negotiations
Education
Eckerd College 1998 — 2003
Bachelor of Arts, International Business
TASIS International School of Athens 1985 — 1998
Hearst October 2014 - Present
JPMorgan Chase October 2002 - September 2014
Nomura Securities International, Inc. July 1996 - October 2002
Mitsui USA 1994 - 1996
Mercer Human Resource Consulting 1989 - 1989
Skills
Deferred Compensation, Human Resources, Management, Succession Planning, HRIS, Performance Management, Talent Management, PeopleSoft, Workforce Planning, Employee Engagement, Talent Acquisition, Employee Relations, Benefits Administration, HR Policies, Incentive Programs
Education
Northeastern University 1988 — 1993
BS, Business Management
St. Francis Preparatory High School 1984 — 1988
High School Diploma, General Studies
Immaculate Conception School
Dresdner Kleinwort May 2006 - September 2009
Nomura Securities International, Inc. August 1993 - May 2006
Dean Witter Reynolds, Inc. May 1991 - August 1993
Education
University of Hartford 1987 — 1991
BA, Economics with a minor in Business Administration
Bekker Compliance Consulting Partners, LLC 2007 - Present
Soldiers' Sailors', Marines' & Airmen's Club, Inc. January 1995 - Present
United War Veterans Council, Inc. May 2009 - May 2014
Law Office of Raymond J. Lustig March 2009 - May 2014
World Policy Institute, Inc. February 2007 - October 2012
Agfa HealthCare Corporation October 2006 - March 2009
Davidoff Malito & Hutcher November 2003 - September 2006
Lehman Brothers September 2000 - November 2002
Metropolitan Transportation Authority September 1998 - September 2000
Nomura Securities International, Inc. November 1991 - July 1998
Education
New York University School of Law 1978 — 1981
J.D., Law
Columbia University - School of International and Public Affairs 1976 — 1978
E. Asian Institute Certificate, Modern East Asia
Columbia University in the City of New York
M.A., Japanese
Fordham University
B.A., History & Asian Studies
Blaylock Industries, Inc. December 2012 - Present
Winkleman and Winkleman September 2012 - Present
Wentworth Technology 2010 - April 2014
Gasco Manufacturing Corp. 2011 - December 2013
Nomura Securities International, Inc. 2009 - 2010
MaineToday Media, Inc. 2008 - 2009
Redbrick Capital Management, L.P. May 2007 - December 2008
Verity Capital Partners, L.P. 2005 - 2007
Carlson Capital, L.P. 1997 - 2005
Hester Capital Management, L.L.C. 1997 - 1998
Skills
Hedge Funds, Mergers & Acquisitions, Equities, Loans, Strategy, Portfolio Management, Private Equity, Start-ups, Entrepreneurship, Business Development, Investments, Management, Valuation, Finance, Risk Management, Alternative Investments, Leadership, Securities, Financial Services, Trading, Analytics
Education
Harvard Business School 2014 — 2014
Leading Your Small Business Through Its Lifecycle
The University of Texas at Austin - Red McCombs School of Business 1996 — 1998
MBA, Finance
University of Vermont 1990 — 1993
BA, English
St. Mark's School
Caravel Capital Management December 2008 - Present
Progresion Sociedad Administradora de Fondos November 2009 - Present
NSL Eolica June 2011 - June 2014
Quantek Asset Management August 2005 - November 2008
Pali Capital January 2005 - July 2005
Provident Group April 2003 - December 2004
InterLinks USA, INC March 1999 - March 2003
Nomura Securities International. Inc. June 1993 - March 1999
Skills
Equities, Private Equity, Alternative Investments, Venture Capital, Investment Banking, Latin America, Investments, Structured Finance, Investment Strategies, Private Placements, Portfolio Management, Financial Structuring, Mutual Funds, Financial Services
Education
Georgetown University
Master of Arts (M.A.), Economics
New York University - Leonard N. Stern School of Business
MBA, Finance/International Business
Universidad de Chile
BA, Economics
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)
AllianceBernstein January 2011 - Present
AllianceBernstein August 2003 - Present
Nomura Securities International, Inc. 1994 - 2004
Salomon Brothers 1984 - 1998
PricewaterhouseCoopers 1982 - 1984
Skills
Mergers, Strategic Financial..., Risk Management, Accounting, Financial Modeling, Auditing, Financial Analysis
Education
Saint Bonaventure University 1978 — 1982
1982, Accounting
CFA Institute October 2014 - Present
FNEX LLC July 2013 - October 2014
Daiwa Capital Markets America Inc. 2007 - 2012
Natixis 2004 - 2007
Swiss American Securities (sub. of Credit Suisse) 2003 - 2004
Nomura Securities International Inc. 1999 - 2003
Citibank, N.A. 1995 - 1999
CS First Boston July 1993 - December 1994
Citibank, N.A. 1990 - June 1993
Skills
Series 7, Series 24, Series 63, Series 55, Equities, Fixed Income, Trading, Client Relationship..., Product Management, Derivatives, New Business Development, Capital Markets, Banking, Alternative Investments, Hedge Funds, ETFs, Financial Services, Securities Lending, Emerging Markets, Collateral Management, Asset Management, Financial Markets, Equity Trading, Bonds, Financial Structuring, Options, Funding, Finance, Securitization, Equity Derivatives, Prime Brokerage, Structured Products, Swaps, Bloomberg
Education
Columbia University - School of International and Public Affairs
Master's Degree, Global Economic and Political Development & International Finance and Banking
New York University - Leonard N. Stern School of Business
Bachelor of Science (BSc), cum laude, Economics
Alcentra July 2014 - Present
Daiwa Asset Management (America) Ltd. May 2012 - June 2014
Keefe, Bruyette & Woods, Inc. July 2004 - May 2012
Citigroup, Inc May 2002 - June 2004
Nomura Securities International, Inc January 2000 - May 2002
Prudential Financial July 1997 - January 2000
Skills
Securities, Internal Audit, Corporate Law, Asset Managment, Mutual Funds, Securities Regulation, Policy, Enterprise Risk..., Trading, Capital Markets, Asset Management, Financial Risk, Hedge Funds, Portfolio Management, Fixed Income, Investments, AML, Alternative Investments, FINRA, Legal Compliance, Anti Money Laundering
Education
Barnard College, Columbia University
B.A
New York Law School
Juris Doctorate
Oceanside
ABN AMRO Securities (USA) LLC 2013 - Present
Mitsubishi UFJ Securities 2008 - 2013
Nomura Securities International, Inc May 2005 - July 2008
Merrill Lynch April 1999 - April 2005
Yamaichi Securities USA 1997 - 1998
HSBC Securities 1995 - 1997
Chemical Securities Inc. 1993 - 1995
Donaldson, Lufkin & Jenrette Inc. 1987 - 1993
Skills
Fixed Income, Middle Office, Hedge Funds, Capital Markets, Investment Banking, Accounting, Bonds, Derivatives, FINRA, Financial Reporting, Swaps, Equities, Asset Management, Prime Brokerage, Securities, Valuation, Credit Derivatives, Bloomberg, Finance, Financial Analysis, Financial Risk
Education
City University of New York-Brooklyn College 1980 — 1985
BS, Accounting
Living the Great American Novel September 2015 - Present
OptionsHouse March 2007 - Present
JP MORGAN CHASE INC. April 2004 - June 2005
Transmarket Group and Refco January 2003 - February 2005
NOMURA SECURITIES INTERNATIONAL INC. October 1999 - January 2003
DT TRADING LLC. August 1996 - November 1999
Skills
Bonds, Derivatives, Equities, Finance, Financial Risk, Fixed Income, Options, Portfolio Management, Risk Management, Securities, Trading, Marketing, Series 63, Hedging, FINRA
Education
Quinlan School of Business, Loyola University Chicago 2007 — 2009
MBA, Derivatives and Corporate Risk Management
Goldman, Sachs & Company June 2005 - Present
Deutsche Asset Management September 2000 - March 2005
Nomura Securities International, Inc September 1993 - August 2000
Ungerer & Company July 1992 - August 1993
Gruntal & Company July 1990 - June 1992
Technochem, Inc June 1989 - June 1990
Skills
Equities, Hedge Funds, Securities Lending, Mutual Funds, Banking, Funding, MBS, Fixed Income, Prime Brokerage, Series 7, Capital Markets, Derivatives, Alternative Investments, Bloomberg, Sales, Trading, Securities, Series 63, Investment Banking, Asset Managment, Bonds
Education
Lehigh University 1985 — 1989
B.S., Marketing
Thomson Reuters November 2014 - Present
Fried, Frank, Harris, Shriver & Jacobson LLP November 2008 - October 2014
White & Case LLP February 2004 - November 2008
Proskauer Rose LLP January 2001 - February 2004
Nomura Securities International, Inc. October 1998 - January 2001
UBS Securities LLC September 1994 - October 1998
HSBC Securities Inc. July 1984 - September 1994
Skills
Securities Regulation, Securities Litigation, Corporate Law, Corporate Governance, Privacy Law, Financial Regulation, Securities, Commercial Litigation, Cross-border..., Litigation, Corporate Internal..., FINRA, Dodd-Frank, Legal Writing, Arbitration, FCPA, Joint Ventures, Legal Research, Class Actions, SEC
Education
Fordham University School of Law 1975 — 1978
J.D., Law
College of the Holy Cross 1971 — 1975
B.A., English
Nuveen Investments October 2009 - May 2010
Northern Trust Company May 2007 - September 2009
Lehman Brothers Asset Management September 2006 - January 2007
McDonnell Investment October 2004 - July 2006
Spear Leeds & Kellogg October 2003 - September 2004
Northern Trust Company September 2003 - September 2003
Nomura Securities International Inc June 2003 - August 2003
Zurich Scudder Investments/Scudder Kemper Investments September 1994 - July 2002
Morgan Stanley & Co. Inc November 1983 - November 1993
John Nuveen & Co. May 1980 - May 1983
Skills
Fixed Income
Education
Illinois State University
Bachelor of Science Psychology
The Winters Report 2008 - Present
HomeMVP Corp 2008 - 2008
Oppenheimer and Co., Inc. 2006 - 2007
Nomura Securities International Inc. 2005 - 2006
FTN Financial 2002 - 2004
J.P. Morgan 1996 - 2001
Merrill Lynch 1993 - 1996
Furman Selz 1989 - 1991
Morgan Stanley 1987 - 1989
Education
The University of Chicago - Booth School of Business 1991 — 1993
Master of Business Administration (MBA)
SUNY Albany 1984 — 1987
Bachelor of Science (BS), Economics
Archbishop Molloy High School
Archbishop Molloy High School
Sheridan Asset Management, LLC February 2002 - Present
JD Residential I, LLC January 2000 - January 2002
FirstCity Capital Corporation October 1997 - January 2000
Nomura Securities International, Inc. April 1994 - October 1997
US West Financial Services, Inc. March 1991 - March 1994
ComFed Savings Bank January 1985 - March 1991
Skills
ice hockey, cycling
Education
San Francisco State University, College of Business 1979 — 1982
M.B.A., Finance
University of Connecticut 1972 — 1977
B.A., Sociology
Nomura Corporate Research and Asset Management Inc April 2007 - Present
Nomura Securities International, Inc. August 2004 - April 2007
Skills
Fixed Income, Trading, Derivatives, Hedge Funds, Corporate Finance, Investments, Valuation, Portfolio Management, Asset Management, Financial Modeling
Education
Seton Hall University 2000 — 2004
Bachelor of Science, Finance
Bank of America - Merrill Lynch June 2012 - Present
Capstone Investment Advisors January 2008 - August 2011
CIBC World Markets April 2007 - January 2008
Nomura Securities International Inc. May 1997 - April 2007
Nomura Securities International Inc December 1995 - May 1997
PaineWebber Inc. January 1992 - December 1995
Skills
Options, Tenders, Equities, Arbitrage, Special Situations, Risk Arbitrage
Education
Fordham University - Graduate School of Business Administration 1993 — 1997
MBA, Finance
Lehigh University 1987 — 1991
Bachelor of Science, Accounting
Bank of America April 2007 - Present
BANK OF AMERICA MERRILL LYNCH SECURITIES April 2007 - Present
BEAR STEARNS SECURITIES April 2006 - April 2007
NOMURA SECURITIES INTERNATIONAL INC July 2004 - April 2006
LEHMAN BROTHERS INC July 2003 - July 2004
DEUTSCHE BANK N.A July 1998 - July 2003
Deutsche Bank Securities 1998 - 2003
Education
Pace University - Lubin School of Business 1996 — 1998
Master of Business Administration (MBA), Financial Management
Pace University
Master of Business Administration, Financial Management
University of Ghana 1980 — 1985
Bachelor of Arts, Mathematics and Statistics
University of Ghana
Bachelor of Arts, Statistics and Mathematics
st augustine's secondary school, cape coast, ghana
Nomura Securities International, Inc. 2010 - Present
Nomura Securities International, Inc. 2007 - 2010
Nomura Securities International, Inc. 2005 - 2007
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2002 — 2005
JD
State University of New York at Binghamton 1998 — 2002
BA, Philosophy, Politics, and Law
Legg Mason Investors Services, LLC. 2013 - Present
AXA Distributors 2007 - 2011
Nomura Securities International, Inc. 2001 - 2007
Josephthal & Co., Inc 1995 - 2001
Education
Rider University
B.A. Law & Justice, Summa Cum Laude
BMO Capital Markets February 2014 - Present
Nomura Securities International Inc September 2009 - February 2014
Nomura International June 2007 - September 2009
Education
European University 2006 — 2007
Master in Business Administration, Finance, General
American University 2000 — 2004
Bachelor of Arts and Sciences, International Marketing
立命館大学 / Ritsumeikan University 2000 — 2004
Bachelor of Arts (BA), International Relations and Affairs
Goldman Sachs January 2013 - Present
Credit Suisse AG September 2012 - December 2012
Mohegan Resorts International LLC/Mohegan Hill Development LLC 2009 - 2012
Scotiabank 2002 - 2007
Nomura Securities International, Inc. 1997 - 2001
Merrill Lynch, Pierce, Fenner & Smith Incorporated 1994 - 1997
Education
New York University School of Law 1984 — 1987
Juris Doctor
Brandeis University
Bachelor of Arts (B.A.), Liberal Arts and Sciences/Liberal Studies