Regional Broker Dealer
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Regional Broker Dealer Employees
Employee
Years
Job
Industry
Daniel Turbin Daniel Turbin's Regional Broker Dealer Experience 2009 - August 2010
Job Fixed Income, Looking for a new opportunity.
Industry Investment Banking
Experience
Consultant, Investments & Fixed Income December 2011 - Present
Fondsfinans March 2011 - December 2011
Oppenheimer & Co. October 2010 - February 2011
Regional Broker Dealer 2009 - August 2010
Nykredit Markets 2005 - 2008
Barclays & CIBC (Joint venture) March 2004 - August 2005
ABN AMRO February 1993 - June 1998
S.G. Warburg 1991 - 1993
Credit Lyonnais 1990 - 1991
Skills
Fixed Income, Derivatives, Capital Markets, Equities, Equity Derivatives, Trading, Hedging, Valuation, Financial Structuring, Credit Derivatives, Private Banking, Options, Asset Allocation, FX Options, Hedge Funds, Portfolio Management, Structured Products, Series 7, Bonds, Currency, MBS, Emerging Markets, Investments, Financial Markets, Securities, Structured Finance, Investment Banking, Quantitative Finance, Structuring, FX, Alternative Investments, Interest Rate Swaps, Fine Art
Education
Northwestern University 1984 — 1988
M.S.
Boston University 1979 — 1983
B.A.
Consultant, Investments & Fixed Income December 2011 - Present
Fondsfinans March 2011 - December 2011
Oppenheimer & Co. October 2010 - February 2011
Regional Broker Dealer 2009 - August 2010
Nykredit Markets 2005 - 2008
Barclays & CIBC (Joint venture) March 2004 - August 2005
ABN AMRO February 1993 - June 1998
S.G. Warburg 1991 - 1993
Credit Lyonnais 1990 - 1991
Skills
Fixed Income, Derivatives, Capital Markets, Equities, Equity Derivatives, Trading, Hedging, Valuation, Financial Structuring, Credit Derivatives, Private Banking, Options, Asset Allocation, FX Options, Hedge Funds, Portfolio Management, Structured Products, Series 7, Bonds, Currency, MBS, Emerging Markets, Investments, Financial Markets, Securities, Structured Finance, Investment Banking, Quantitative Finance, Structuring, FX, Alternative Investments, Interest Rate Swaps, Fine Art
Education
Northwestern University 1984 — 1988
M.S.
Boston University 1979 — 1983
B.A.
Ed Ulledalen Ed Ulledalen's Regional Broker Dealer Experience March 1983 - July 2000
Job Branch Manager at Raymond James Financial Services, Inc./Member FINRA/SIPC
Industry Financial Services
Experience
Raymond James Financial Services, Inc./Member FINRA/SIPC July 2000 - Present
City of Billings 2004 - November 2013
City of Billings 2008 - 2013
Regional Broker Dealer March 1983 - July 2000
Conoco 1980 - 1982
Skills
Sales Management, Strategic Planning, Finance, Public Speaking, Nonprofits, Fundraising, Community Outreach, Economic Development, Event Planning, Policy, Customer Service, Financial Advisory, Public Relations, Leadership, Research
Education
Montana State University-Bozeman 1976 — 1980
BS, Natural Resource Economics
Sidney Senior High School, Sidney,MT 1973 — 1976
Raymond James Financial Services, Inc./Member FINRA/SIPC July 2000 - Present
City of Billings 2004 - November 2013
City of Billings 2008 - 2013
Regional Broker Dealer March 1983 - July 2000
Conoco 1980 - 1982
Skills
Sales Management, Strategic Planning, Finance, Public Speaking, Nonprofits, Fundraising, Community Outreach, Economic Development, Event Planning, Policy, Customer Service, Financial Advisory, Public Relations, Leadership, Research
Education
Montana State University-Bozeman 1976 — 1980
BS, Natural Resource Economics
Sidney Senior High School, Sidney,MT 1973 — 1976
Harris Carruba Harris Carruba's Regional Broker Dealer Experience July 2010 - March 2015
Job Assistant Marketing Manager at Atherotech Diagnostics Laboratory
Industry Marketing and Advertising
Experience
Atherotech Diagnostics Laboratory May 2015 - Present
Regional Broker Dealer July 2010 - March 2015
Skills
Social Media Marketing, Marketing Communications, Direct Marketing, Public Relations, Marketing, Event Planning, Social Media, Advertising, Copywriting, Corporate Communications, Customer Service, Digital Marketing, Email Marketing, Internal Communications, Integrated Marketing, Media Relations, Press Releases, Online Marketing, Strategic Planning, Facebook, Leadership, Management, Public Speaking
Education
Mississippi State University 2003 — 2007
Bachelor of Business Administration (BBA), Public Relations/Image Management
Atherotech Diagnostics Laboratory May 2015 - Present
Regional Broker Dealer July 2010 - March 2015
Skills
Social Media Marketing, Marketing Communications, Direct Marketing, Public Relations, Marketing, Event Planning, Social Media, Advertising, Copywriting, Corporate Communications, Customer Service, Digital Marketing, Email Marketing, Internal Communications, Integrated Marketing, Media Relations, Press Releases, Online Marketing, Strategic Planning, Facebook, Leadership, Management, Public Speaking
Education
Mississippi State University 2003 — 2007
Bachelor of Business Administration (BBA), Public Relations/Image Management
Rebecca Barganier Rebecca Barganier's Regional Broker Dealer Experience August 2013 - July 2014
Job Internal Communications Coordinator at HealthSouth
Industry Public Relations and Communications
Experience
HealthSouth February 2015 - Present
Time Inc. July 2014 - December 2014
Regional Broker Dealer August 2013 - July 2014
Regional Broker Dealer October 2012 - August 2013
Birmingham Fashion Week Junior Board July 2012 - March 2013
Walls Media September 2012 - October 2012
Walls Media May 2012 - September 2012
Wrapsody January 2012 - May 2012
J.Crew November 2011 - January 2012
Skills
Social Media, Public Relations, Microsoft Office, PowerPoint, Photoshop, Microsoft Word, Microsoft Excel, Editing, Facebook, Public Speaking, Press Releases, Human Resources, Community Outreach, Time Management, Research, Customer Service, Social Networking, Advertising, Marketing, Teamwork, Event Management, Marketing Communications, Adobe Creative Suite, HTML, Blogging, Leadership, Media Relations, Fundraising, Social Media Marketing, InDesign, Spanish, Outlook, Corporate Communications, ADP HRB, ADP Payroll, Newsletters, Feature Writing
Education
Auburn University 2008 — 2012
Bachelor of Arts (B.A.), Public Relations, Advertising, and Applied Communication
HealthSouth February 2015 - Present
Time Inc. July 2014 - December 2014
Regional Broker Dealer August 2013 - July 2014
Regional Broker Dealer October 2012 - August 2013
Birmingham Fashion Week Junior Board July 2012 - March 2013
Walls Media September 2012 - October 2012
Walls Media May 2012 - September 2012
Wrapsody January 2012 - May 2012
J.Crew November 2011 - January 2012
Skills
Social Media, Public Relations, Microsoft Office, PowerPoint, Photoshop, Microsoft Word, Microsoft Excel, Editing, Facebook, Public Speaking, Press Releases, Human Resources, Community Outreach, Time Management, Research, Customer Service, Social Networking, Advertising, Marketing, Teamwork, Event Management, Marketing Communications, Adobe Creative Suite, HTML, Blogging, Leadership, Media Relations, Fundraising, Social Media Marketing, InDesign, Spanish, Outlook, Corporate Communications, ADP HRB, ADP Payroll, Newsletters, Feature Writing
Education
Auburn University 2008 — 2012
Bachelor of Arts (B.A.), Public Relations, Advertising, and Applied Communication
Walt Parrish's Regional Broker Dealer Experience May 2009 - Present
Job Vice President Fixed Income Sales
Industry Capital Markets
Experience
Regional Broker Dealer May 2009 - Present
Merrill Lynch May 2004 - February 2009
Southwest Securities Inc. 2000 - 2004
Perot Systems January 1999 - January 2000
Education
The University of Texas at Dallas 2000 — 2001
Louisiana State University 1998 — 1999
Texas Tech University 1994 — 1998
Finance
Regional Broker Dealer May 2009 - Present
Merrill Lynch May 2004 - February 2009
Southwest Securities Inc. 2000 - 2004
Perot Systems January 1999 - January 2000
Education
The University of Texas at Dallas 2000 — 2001
Louisiana State University 1998 — 1999
Texas Tech University 1994 — 1998
Finance
Brad Northcutt's Regional Broker Dealer Experience August 2006 - Present
Job Vice President at Regional BrokerDealer
Industry Investment Banking
Experience
Regional Broker-Dealer August 2006 - Present
Thomas Weisel Partners February 2000 - August 2006
Lehman Brothers March 1995 - February 2000
Education
Texas Tech University 1983 — 1987
Bachelor of Business Administration, Finance/Economics
Texas Tech University - Rawls College of Business 1983 — 1987
BBA, Finance with an emphasis in Economics
Regional Broker-Dealer August 2006 - Present
Thomas Weisel Partners February 2000 - August 2006
Lehman Brothers March 1995 - February 2000
Education
Texas Tech University 1983 — 1987
Bachelor of Business Administration, Finance/Economics
Texas Tech University - Rawls College of Business 1983 — 1987
BBA, Finance with an emphasis in Economics
Dyke Minix's Regional Broker Dealer Experience October 2007 - Present
Job VP: Head Retail Taxable Fixed Income Trader at a Regional Broker Dealer
Industry Financial Services
Experience
Regional Broker Dealer October 2007 - Present
ValuBond 2005 - 2007
AXA Advisors June 2002 - January 2004
Skills
Investment Advisory, Derivatives, Options, Banking, Bonds, Asset Allocation, Securities, Electronic Trading, Portfolio Management, Mutual Funds, Structured Products, Series 63, Investment Banking, FINRA, Emerging Markets, Trading, Financial Analysis, Credit, Fixed Income, Investment Management, Wealth Management, Capital Markets, Bloomberg, Investments, Valuation, Financial Services, Trading Systems, Risk Management, Finance, Hedge Funds, Microsoft Office, Financial Markets, Investment Strategies, Asset Management, Series 7, Equities, Interest Rate..., Equity Trading, Equity Derivatives
Education
Indiana University - Kelley School of Business 1998 — 2002
BD, Marketing
Indiana University Bloomington 1998 — 2002
Regional Broker Dealer October 2007 - Present
ValuBond 2005 - 2007
AXA Advisors June 2002 - January 2004
Skills
Investment Advisory, Derivatives, Options, Banking, Bonds, Asset Allocation, Securities, Electronic Trading, Portfolio Management, Mutual Funds, Structured Products, Series 63, Investment Banking, FINRA, Emerging Markets, Trading, Financial Analysis, Credit, Fixed Income, Investment Management, Wealth Management, Capital Markets, Bloomberg, Investments, Valuation, Financial Services, Trading Systems, Risk Management, Finance, Hedge Funds, Microsoft Office, Financial Markets, Investment Strategies, Asset Management, Series 7, Equities, Interest Rate..., Equity Trading, Equity Derivatives
Education
Indiana University - Kelley School of Business 1998 — 2002
BD, Marketing
Indiana University Bloomington 1998 — 2002
Theresa Manderski, CAMS's Regional Broker Dealer Experience September 2014 - Present
Job First Vice President Compliance Manager at Regional Broker Dealer
Industry Financial Services
Experience
Regional Broker Dealer September 2014 - Present
BB&T Securities, LLC June 2008 - September 2014
Davenport & Company LLC September 2005 - June 2008
Wachovia Securities November 2004 - September 2005
Wachovia Securities January 2003 - November 2004
Ryan Beck & Co. January 1998 - January 2003
Skills
Supervision, Series 7, Securities, FINRA, AML, Investments, Series 24, Risk Management, Investment Advisory, Trading, OFAC, Fixed Income, Uniform Combined State..., Alternative Investments, Investment Management, KYC, Anti Money Laundering, Financial Services, Mutual Funds
Education
John Tyler Community College 2014 — 2016
General Studies - Transfer, Sociology
Regional Broker Dealer September 2014 - Present
BB&T Securities, LLC June 2008 - September 2014
Davenport & Company LLC September 2005 - June 2008
Wachovia Securities November 2004 - September 2005
Wachovia Securities January 2003 - November 2004
Ryan Beck & Co. January 1998 - January 2003
Skills
Supervision, Series 7, Securities, FINRA, AML, Investments, Series 24, Risk Management, Investment Advisory, Trading, OFAC, Fixed Income, Uniform Combined State..., Alternative Investments, Investment Management, KYC, Anti Money Laundering, Financial Services, Mutual Funds
Education
John Tyler Community College 2014 — 2016
General Studies - Transfer, Sociology
Dan Muhly's Regional Broker Dealer Experience August 2011 - Present
Job Senior Vice President Trading
Industry Investment Banking
Experience
Regional Broker-Dealer August 2011 - Present
Skills
Series 7, Asset Managment, Series 63, Equities, Capital Markets, FINRA, Series 24, Investments, Portfolio Management, Securities, Alternative Investments, Asset Allocation, Equity Trading, Trading Systems, Hedge Funds, ETFs, Equity Research, Asset Management, Trading, Mutual Funds, Bloomberg
Education
University of Delaware
Regional Broker-Dealer August 2011 - Present
Skills
Series 7, Asset Managment, Series 63, Equities, Capital Markets, FINRA, Series 24, Investments, Portfolio Management, Securities, Alternative Investments, Asset Allocation, Equity Trading, Trading Systems, Hedge Funds, ETFs, Equity Research, Asset Management, Trading, Mutual Funds, Bloomberg
Education
University of Delaware
Gary Sulaski's Regional Broker Dealer Experience May 2006 - Present
Job Senior Vice President, Institutional Sales
Industry Financial Services
Experience
Regional Broker Dealer May 2006 - Present
NatCity Investments 2003 - 2007
Education
Rockford University 1983 — 1986
Regional Broker Dealer May 2006 - Present
NatCity Investments 2003 - 2007
Education
Rockford University 1983 — 1986
Tim Vecchione's Regional Broker Dealer Experience December 2012 - December 2012
Job Associate, Vice President at Regional Broker Dealer
Industry Financial Services
Experience
Regional Broker Dealer December 2012 - December 2012
Guggenheim Partners May 2012 - December 2012
Guggenheim Partners May 2010 - April 2012
Gerson Lehrman Group May 2008 - May 2010
Fitch Ratings July 2007 - May 2008
Skills
Equities
Education
Colgate University 2003 — 2007
Delbarton
Delbarton
Regional Broker Dealer December 2012 - December 2012
Guggenheim Partners May 2012 - December 2012
Guggenheim Partners May 2010 - April 2012
Gerson Lehrman Group May 2008 - May 2010
Fitch Ratings July 2007 - May 2008
Skills
Equities
Education
Colgate University 2003 — 2007
Delbarton
Delbarton
Kelly Jerrell's Regional Broker Dealer Experience September 2011 - Present
Job Asset Liability Management at Regional Broker Dealer
Industry Financial Services
Experience
Regional Broker Dealer September 2011 - Present
Regional Broker Dealer May 2007 - September 2011
Skills
Securities, Bloomberg, Portfolio Management, Financial Analysis, Valuation, Investments, ALM, Series 7, Bonds, Managerial Finance, Microsoft Excel
Education
University of Alabama at Birmingham
Bachelors, Finance
Regional Broker Dealer September 2011 - Present
Regional Broker Dealer May 2007 - September 2011
Skills
Securities, Bloomberg, Portfolio Management, Financial Analysis, Valuation, Investments, ALM, Series 7, Bonds, Managerial Finance, Microsoft Excel
Education
University of Alabama at Birmingham
Bachelors, Finance
AJ Maggio's Regional Broker Dealer Experience November 2011 - Present
Job VP Fixed Income Sales & Trading at Southwest Securities
Industry Financial Services
Experience
Regional Broker Dealer November 2011 - Present
Morgan Stanley Smith Barney March 2010 - November 2011
BondDesk Group LLC February 2009 - March 2010
Bank of America May 2005 - February 2009
Citigroup January 2004 - May 2005
Skills
Trading, Fixed Income, Hedge Funds, Bonds, Financial Modeling, Series 7, Derivatives, Sales, Series 63, Capital Markets, Options, Securities, Investments, Bloomberg, Mutual Funds, Credit, Financial Analysis, Financial Services, Financial Markets, Portfolio Management, Asset Management, Alternative Investments, Investment Banking, Equities, Wealth Management, Electronic Trading
Education
Southern Methodist University 1995 — 1999
BA, Economics
Regional Broker Dealer November 2011 - Present
Morgan Stanley Smith Barney March 2010 - November 2011
BondDesk Group LLC February 2009 - March 2010
Bank of America May 2005 - February 2009
Citigroup January 2004 - May 2005
Skills
Trading, Fixed Income, Hedge Funds, Bonds, Financial Modeling, Series 7, Derivatives, Sales, Series 63, Capital Markets, Options, Securities, Investments, Bloomberg, Mutual Funds, Credit, Financial Analysis, Financial Services, Financial Markets, Portfolio Management, Asset Management, Alternative Investments, Investment Banking, Equities, Wealth Management, Electronic Trading
Education
Southern Methodist University 1995 — 1999
BA, Economics
Jason Pisani's Regional Broker Dealer Experience May 1999 - Present
Job SVP
Industry Financial Services
Experience
Regional broker dealer May 1999 - Present
Skills
Series 7, Equities, Securities, Series 63, Fixed Income, Investments, Series 24
Education
Providence College 1990 — 1994
Hotchkiss School 1989 — 1990
Post Grad Year
Mamaroneck High School 1985 — 1989
-----
Regional broker dealer May 1999 - Present
Skills
Series 7, Equities, Securities, Series 63, Fixed Income, Investments, Series 24
Education
Providence College 1990 — 1994
Hotchkiss School 1989 — 1990
Post Grad Year
Mamaroneck High School 1985 — 1989
-----
Michael Kepesky, JD CFP® CLU® ChFC®'s Regional Broker Dealer Experience 2007 - 2009
Job AXA Distributors; Vice President and National Sales DirectorLife Brokerage
Industry Financial Services
Experience
MetLife Premier Client Group June 2012 - December 2014
MetLife Investors June 2010 - June 2012
MetLife Premier Client Group May 2009 - June 2010
Regional Broker Dealer 2007 - 2009
MetLife Investors 2005 - 2007
MetLife Investors 2002 - 2004
MetLife 1991 - 2001
MetLife 1988 - 1990
Skills
Insurance, Life Insurance, Management, Mutual Funds, Retirement Planning, Series 7, Investments, Financial Planning, Sales, Sales Leadership, Annuities, Wholesaling, Third Party Distribution, Tax & Legal Issues, Public Speaking, Marketing, Training, Compliance, New Product Launch, Pricing, Financial Services, Disability Insurance
Education
University of Arkansas at Little Rock, William H. Bowen School of Law 1985 — 1988
JD, Law
Arkansas Tech University 1980 — 1984
Bachelor of Science (BS), Business, Management, Marketing, and Related Support Services
MetLife Premier Client Group June 2012 - December 2014
MetLife Investors June 2010 - June 2012
MetLife Premier Client Group May 2009 - June 2010
Regional Broker Dealer 2007 - 2009
MetLife Investors 2005 - 2007
MetLife Investors 2002 - 2004
MetLife 1991 - 2001
MetLife 1988 - 1990
Skills
Insurance, Life Insurance, Management, Mutual Funds, Retirement Planning, Series 7, Investments, Financial Planning, Sales, Sales Leadership, Annuities, Wholesaling, Third Party Distribution, Tax & Legal Issues, Public Speaking, Marketing, Training, Compliance, New Product Launch, Pricing, Financial Services, Disability Insurance
Education
University of Arkansas at Little Rock, William H. Bowen School of Law 1985 — 1988
JD, Law
Arkansas Tech University 1980 — 1984
Bachelor of Science (BS), Business, Management, Marketing, and Related Support Services
Phillip Yourich's Regional Broker Dealer Experience June 2012 - April 2015
Job Asset/Liability Analyst at Regions Financial Corporation
Industry Financial Services
Experience
Regions Financial Corporation April 2015 - Present
Regional Broker Dealer June 2012 - April 2015
Regional Broker Dealer August 2010 - June 2012
Best Buy August 2008 - April 2010
Education
University of Alabama at Birmingham 2004 — 2008
Business, Finance
Regions Financial Corporation April 2015 - Present
Regional Broker Dealer June 2012 - April 2015
Regional Broker Dealer August 2010 - June 2012
Best Buy August 2008 - April 2010
Education
University of Alabama at Birmingham 2004 — 2008
Business, Finance
Connor McMahon, CPA's Regional Broker Dealer Experience August 2010 - Present
Job CPAFinancial Reporting Supervisor at Regional Broker Dealer
Industry Accounting
Experience
Regional Broker Dealer August 2010 - Present
PricewaterhouseCoopers November 2007 - August 2010
Skills
CPA, US GAAP, Accounting, Auditing, Internal Controls, Financial Reporting, GAAP, Financial Accounting, Sarbanes-Oxley Act, Financial Analysis, External Audit, Financial Statements, General Ledger
Education
University of Alabama at Birmingham 2002 — 2007
Bachelor of Accountancy, Accounting
Regional Broker Dealer August 2010 - Present
PricewaterhouseCoopers November 2007 - August 2010
Skills
CPA, US GAAP, Accounting, Auditing, Internal Controls, Financial Reporting, GAAP, Financial Accounting, Sarbanes-Oxley Act, Financial Analysis, External Audit, Financial Statements, General Ledger
Education
University of Alabama at Birmingham 2002 — 2007
Bachelor of Accountancy, Accounting
Derek Clenin, CPA's Regional Broker Dealer Experience August 2011 - Present
Job Client Relationship Manager at Regional Broker Dealer
Industry Financial Services
Experience
Regional Broker Dealer August 2011 - Present
Deloitte & Touche September 2008 - August 2011
Skills
Valuation, Investments, Financial Analysis, Financial Reporting, Financial Modeling, Corporate Finance, Accounting, Internal Controls, Financial Accounting, Risk Management, Financial Planning, Due Diligence, Strategic Financial..., Management, Banking
Education
The University of Memphis 2007 — 2008
Masters, Accounting
The University of Memphis 2003 — 2006
B.A., Finance
Memphis University School 1999 — 2003
Regional Broker Dealer August 2011 - Present
Deloitte & Touche September 2008 - August 2011
Skills
Valuation, Investments, Financial Analysis, Financial Reporting, Financial Modeling, Corporate Finance, Accounting, Internal Controls, Financial Accounting, Risk Management, Financial Planning, Due Diligence, Strategic Financial..., Management, Banking
Education
The University of Memphis 2007 — 2008
Masters, Accounting
The University of Memphis 2003 — 2006
B.A., Finance
Memphis University School 1999 — 2003
Brian Kucskar's Regional Broker Dealer Experience February 2008 - Present
Job Group Supervisory Specialist at Regional Broker Dealer
Industry Financial Services
Experience
Regional Broker Dealer February 2008 - Present
Skills
Wealth Management, Supervision, Series 7, Series 66, series 26, Series 4, Series 24, Series 53, Series 6, Strategic Financial..., Series 63
Education
University of Phoenix
Bachelor of Science (BS), Business Management, 3.99
Regional Broker Dealer February 2008 - Present
Skills
Wealth Management, Supervision, Series 7, Series 66, series 26, Series 4, Series 24, Series 53, Series 6, Strategic Financial..., Series 63
Education
University of Phoenix
Bachelor of Science (BS), Business Management, 3.99
Peter Fryer's Regional Broker Dealer Experience December 2013 - Present
Job Financial Sales Representative Relationship Building, Educating, Influencing, Public Speaking, Customer Service
Industry Financial Services
Experience
Regional Broker Dealer December 2013 - Present
CarMax July 2011 - November 2013
CarMax June 2010 - July 2011
Skills
Communication, Teamwork, Associate Development, Customer Service, Analysis and..., Leadership
Education
Auburn University 2006 — 2010
Bachelor of Science in Business Administration, Finance
Regional Broker Dealer December 2013 - Present
CarMax July 2011 - November 2013
CarMax June 2010 - July 2011
Skills
Communication, Teamwork, Associate Development, Customer Service, Analysis and..., Leadership
Education
Auburn University 2006 — 2010
Bachelor of Science in Business Administration, Finance