Securities Industry and Financial Markets Association
Industry: Industry trade group
DescriptionThe Securities Industry and Financial Markets Association is a United States industry trade group representing securities firms, banks, and asset management companies. SIFMA was formed on November 1, 2006, from the merger of the Bond Market Association and the Securities Industry Association. Founded: 2006 Subsidiary: Asia Securities Industry and Financial Markets Association
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Securities Industry and Financial Markets Association Employees
Employee
Years
Job
Industry
Allison Sample Allison Sample's Securities Industry and Financial Markets Association Experience October 2009 - November 2010
Job Executive Assistant and Office Manager at ARA
Industry Real Estate
Experience
ARA January 2011 - Present
Securities Industry and Financial Markets Association October 2009 - November 2010
National Association of Broadcasters September 2006 - October 2009
Skills
Sales, Event Planning, Social Media, Public Relations, Social Media Marketing, Outlook, PowerPoint, Marketing, Event Management, Microsoft Office, Nonprofits, Microsoft Excel
Education
The University of Texas at Austin 2002 — 2006
Bachelor's, Communication Studies
St. Agnes Academy
ARA January 2011 - Present
Securities Industry and Financial Markets Association October 2009 - November 2010
National Association of Broadcasters September 2006 - October 2009
Skills
Sales, Event Planning, Social Media, Public Relations, Social Media Marketing, Outlook, PowerPoint, Marketing, Event Management, Microsoft Office, Nonprofits, Microsoft Excel
Education
The University of Texas at Austin 2002 — 2006
Bachelor's, Communication Studies
St. Agnes Academy
Lily (Xin) Hao Lily (Xin) Hao's Securities Industry and Financial Markets Association Experience August 2009 - April 2011
Job
Industry Financial Services
Experience
VGL Trading LLC April 2011 - Present
Securities Industry and Financial Markets Association August 2009 - April 2011
Thomas Weisel Partners July 2007 - February 2009
Morgan, Lewis & Bockius LLP August 2006 - July 2007
Skills
Financial Modeling, Valuation, Equities, Corporate Finance, Due Diligence, Retail, Purchasing, E-commerce, Investments, Investment Banking, Equity Research, Capital Markets, Start-ups, Trading, Hedge Funds
Education
Duke University 2002 — 2006
BS
New York University 2007 — 2007
VGL Trading LLC April 2011 - Present
Securities Industry and Financial Markets Association August 2009 - April 2011
Thomas Weisel Partners July 2007 - February 2009
Morgan, Lewis & Bockius LLP August 2006 - July 2007
Skills
Financial Modeling, Valuation, Equities, Corporate Finance, Due Diligence, Retail, Purchasing, E-commerce, Investments, Investment Banking, Equity Research, Capital Markets, Start-ups, Trading, Hedge Funds
Education
Duke University 2002 — 2006
BS
New York University 2007 — 2007
Stephen Pastrick Stephen Pastrick's Securities Industry and Financial Markets Association Experience October 2013 - November 2013
Job Associate at Goldman Sachs
Industry Financial Services
Experience
Goldman Sachs November 2013 - Present
Securities Industry and Financial Markets Association October 2013 - November 2013
Securities Industry and Financial Markets Association October 2011 - November 2013
ASIFMA August 2012 - February 2013
Securities Industry and Financial Markets Association November 2010 - October 2011
Securities Industry and Financial Markets Association January 2009 - October 2010
Organization for International Inve July 2007 - December 2008
Skills
Government Relations, Public Policy, Economics, International Relations, Strategic Communications, Policy Analysis, Financial Services, Policy, Media Relations, Government, Securities, Research, Public Speaking
Education
American University 2007 — 2009
M.A., International Affairs
University at Buffalo 2005 — 2007
M.A., History
University at Buffalo 2002 — 2005
B.A., History
Goldman Sachs November 2013 - Present
Securities Industry and Financial Markets Association October 2013 - November 2013
Securities Industry and Financial Markets Association October 2011 - November 2013
ASIFMA August 2012 - February 2013
Securities Industry and Financial Markets Association November 2010 - October 2011
Securities Industry and Financial Markets Association January 2009 - October 2010
Organization for International Inve July 2007 - December 2008
Skills
Government Relations, Public Policy, Economics, International Relations, Strategic Communications, Policy Analysis, Financial Services, Policy, Media Relations, Government, Securities, Research, Public Speaking
Education
American University 2007 — 2009
M.A., International Affairs
University at Buffalo 2005 — 2007
M.A., History
University at Buffalo 2002 — 2005
B.A., History
Mary Ruggiero Mary Ruggiero's Securities Industry and Financial Markets Association Experience November 2007 - November 2008
Job Senior Event Director at DataCenterDynamics
Industry Events Services
Experience
DatacenterDynamics May 2014 - Present
World Congress January 2012 - May 2014
ExL Pharma February 2010 - January 2012
Taub Bogaty & Mellert PLLC November 2008 - February 2010
Securities Industry and Financial Markets Association November 2007 - November 2008
ALM September 2006 - November 2007
Bruno, Gerbino & Soriano, LLP September 2005 - September 2006
Skills
Market Research, Marketing Strategy, Contract Negotiation, Strategic Partnerships, Strategic Planning, Event Management, Social Media, Pharmaceutical Industry, Business Development, New Business Development, Event Planning, Research, Project Management, Negotiation, Strategy, Management, Marketing
Education
Hofstra University School of Law 2002 — 2005
Doctor of Law (J.D.)
Fordham University 1997 — 2001
BS, Business
DatacenterDynamics May 2014 - Present
World Congress January 2012 - May 2014
ExL Pharma February 2010 - January 2012
Taub Bogaty & Mellert PLLC November 2008 - February 2010
Securities Industry and Financial Markets Association November 2007 - November 2008
ALM September 2006 - November 2007
Bruno, Gerbino & Soriano, LLP September 2005 - September 2006
Skills
Market Research, Marketing Strategy, Contract Negotiation, Strategic Partnerships, Strategic Planning, Event Management, Social Media, Pharmaceutical Industry, Business Development, New Business Development, Event Planning, Research, Project Management, Negotiation, Strategy, Management, Marketing
Education
Hofstra University School of Law 2002 — 2005
Doctor of Law (J.D.)
Fordham University 1997 — 2001
BS, Business
Eric L. Foster Eric L. Foster's Securities Industry and Financial Markets Association Experience 2000 - 2007
Job Managing Partner at Lindh Foster, LLC
Industry Law Practice
Experience
Lindh Foster, LLC March 2013 - Present
Patton Boggs LLP November 2007 - August 2012
SUNY Buffalo Law School January 2009 - May 2009
ASIFMA May 2006 - March 2007
SIFMA 2006 - 2007
SIFMA - The Securities and Financial Markets Association 2006 - 2007
Securities Industry and Financial Markets Association 2000 - 2007
Bond Market Association (TBMA) September 2000 - July 2006
The Bond Market Associate 2000 - 2005
Federal Reserve Bank of New York January 1995 - September 2000
Skills
Banking, Financial Markets, Securities, Capital Markets, Hedge Funds, Securities Regulation, Derivatives, Corporate Finance, Fixed Income, Asset Managment, Corporate Governance, Risk Management, Corporate Law, Finance, Financial Regulation, Commercial Litigation, Trading, Strategy, Financial Services, Asset Management, Banking Law
Education
University of Virginia School of Law 1987 — 1990
JD, Law
Colorado College 1981 — 1985
B.A., Political Science & History
The London School of Economics and Political Science (LSE) 1983 — 1984
Visiting Scholar, Economic History
Pomfret School 1978 — 1982
Lindh Foster, LLC March 2013 - Present
Patton Boggs LLP November 2007 - August 2012
SUNY Buffalo Law School January 2009 - May 2009
ASIFMA May 2006 - March 2007
SIFMA 2006 - 2007
SIFMA - The Securities and Financial Markets Association 2006 - 2007
Securities Industry and Financial Markets Association 2000 - 2007
Bond Market Association (TBMA) September 2000 - July 2006
The Bond Market Associate 2000 - 2005
Federal Reserve Bank of New York January 1995 - September 2000
Skills
Banking, Financial Markets, Securities, Capital Markets, Hedge Funds, Securities Regulation, Derivatives, Corporate Finance, Fixed Income, Asset Managment, Corporate Governance, Risk Management, Corporate Law, Finance, Financial Regulation, Commercial Litigation, Trading, Strategy, Financial Services, Asset Management, Banking Law
Education
University of Virginia School of Law 1987 — 1990
JD, Law
Colorado College 1981 — 1985
B.A., Political Science & History
The London School of Economics and Political Science (LSE) 1983 — 1984
Visiting Scholar, Economic History
Pomfret School 1978 — 1982
Noah Kaswell Noah Kaswell's Securities Industry and Financial Markets Association Experience 2010 - 2010
Job Associate at Millstein & Co.
Industry Financial Services
Experience
Millstein and Co. August 2015 - Present
Millstein and Co. July 2013 - Present
Royal Bank of Scotland June 2012 - August 2012
Perry Capital May 2011 - August 2011
Securities Industry and Financial Markets Association 2010 - 2010
Skills
Microsoft Office, Financial Analysis, Investment Banking, Analysis, Bloomberg, Corporate Finance, Financial Modeling
Education
University of Pennsylvania 2009 — 2013
Bachelor of Arts (BA), Economics
Georgetown Day School 2005 — 2009
Millstein and Co. August 2015 - Present
Millstein and Co. July 2013 - Present
Royal Bank of Scotland June 2012 - August 2012
Perry Capital May 2011 - August 2011
Securities Industry and Financial Markets Association 2010 - 2010
Skills
Microsoft Office, Financial Analysis, Investment Banking, Analysis, Bloomberg, Corporate Finance, Financial Modeling
Education
University of Pennsylvania 2009 — 2013
Bachelor of Arts (BA), Economics
Georgetown Day School 2005 — 2009
Ana Albinson's Securities Industry and Financial Markets Association Experience June 2008 - August 2009
Job Associate Marketing Manager at Cengage Learning
Industry Higher Education
Experience
Cengage Learning March 2014 - Present
Hidden Equity LLC January 2013 - March 2014
Fund for the Public Interest September 2012 - January 2013
Fair Share Colorado October 2012 - November 2012
Brandeis University January 2012 - June 2012
Brandeis University August 2011 - December 2011
CapitalSource March 2010 - July 2011
Securities Industry and Financial Markets Association June 2008 - August 2009
ASG Sports September 2007 - June 2009
Sleep Solutions March 2006 - June 2006
Skills
Editing, Public Relations, Non-profits, Research, PowerPoint, Microsoft Office, Microsoft Excel, Microsoft Word, Crisis Communications, Social Media, Customer Service, Event Planning, Data Analysis, Blogging, Community Outreach, Policy Analysis, Public Speaking, Public Policy, Fundraising, Higher Education, Community Management, Facebook, Facebook Marketing, Google Adwords, Google Analytics, Nonprofits, Analysis
Education
Brandeis University 2011 — 2012
Masters of Literature, English Language and Literature/Letters
University of Maryland College Park 2007 — 2009
BA, English Literature
Cengage Learning March 2014 - Present
Hidden Equity LLC January 2013 - March 2014
Fund for the Public Interest September 2012 - January 2013
Fair Share Colorado October 2012 - November 2012
Brandeis University January 2012 - June 2012
Brandeis University August 2011 - December 2011
CapitalSource March 2010 - July 2011
Securities Industry and Financial Markets Association June 2008 - August 2009
ASG Sports September 2007 - June 2009
Sleep Solutions March 2006 - June 2006
Skills
Editing, Public Relations, Non-profits, Research, PowerPoint, Microsoft Office, Microsoft Excel, Microsoft Word, Crisis Communications, Social Media, Customer Service, Event Planning, Data Analysis, Blogging, Community Outreach, Policy Analysis, Public Speaking, Public Policy, Fundraising, Higher Education, Community Management, Facebook, Facebook Marketing, Google Adwords, Google Analytics, Nonprofits, Analysis
Education
Brandeis University 2011 — 2012
Masters of Literature, English Language and Literature/Letters
University of Maryland College Park 2007 — 2009
BA, English Literature
Jim McHale Jim McHale's Securities Industry and Financial Markets Association Experience January 2010 - April 2012
Job Legal and Compliance Executive in the Securities Industry
Industry Financial Services
Experience
Wells Fargo Advisors October 2014 - Present
E*TRADE Financial April 2012 - August 2014
Securities Industry and Financial Markets Association January 2010 - April 2012
E*TRADE Financial February 2004 - January 2010
Morgan, Lewis & Bockius LLP August 1999 - January 2004
US Securities and Exchange Commission 1995 - 1999
Skills
Securities Regulation, FINRA, Securities, SEC, Capital Markets, Corporate Governance, Equities, Series 7, Derivatives, AML, Hedge Funds, Series 24, Due Diligence, Mergers, Financial Services, FCPA, Investments, Fraud, Licensing, Mutual Funds, Financial Regulation, OFAC, Alternative Investments, Series 63, Broker-Dealer, Options, Mergers & Acquisitions, USA PATRIOT Act, Risk Management, KYC, Private Equity, Investment Advisers Act
Education
University of South Carolina School of Law 1989 — 1991
Wells Fargo Advisors October 2014 - Present
E*TRADE Financial April 2012 - August 2014
Securities Industry and Financial Markets Association January 2010 - April 2012
E*TRADE Financial February 2004 - January 2010
Morgan, Lewis & Bockius LLP August 1999 - January 2004
US Securities and Exchange Commission 1995 - 1999
Skills
Securities Regulation, FINRA, Securities, SEC, Capital Markets, Corporate Governance, Equities, Series 7, Derivatives, AML, Hedge Funds, Series 24, Due Diligence, Mergers, Financial Services, FCPA, Investments, Fraud, Licensing, Mutual Funds, Financial Regulation, OFAC, Alternative Investments, Series 63, Broker-Dealer, Options, Mergers & Acquisitions, USA PATRIOT Act, Risk Management, KYC, Private Equity, Investment Advisers Act
Education
University of South Carolina School of Law 1989 — 1991
Donald Kittell Donald Kittell's Securities Industry and Financial Markets Association Experience 1991 - 2008
Job Managing Director at Broadridge Financial Solutions
Industry Financial Services
Experience
Broadridge Financial Solutions Inc. (formerly ADP Brokerage) 2009 - Present
Broadridge Financial Solutions November 2008 - Present
SIFMA 2007 - 2008
Securities Industry and Financial Markets Association 1991 - 2008
Morgan Stanley Dean Witter 1982 - 1987
new york stock exchange 1977 - 1982
Skills
Securities, Fixed Income, Capital Markets, Mutual Funds
Education
Harvard Business School 1960 — 1962
MBA
Hamilton College 1956 — 1959
BA, English, Economics
Broadridge Financial Solutions Inc. (formerly ADP Brokerage) 2009 - Present
Broadridge Financial Solutions November 2008 - Present
SIFMA 2007 - 2008
Securities Industry and Financial Markets Association 1991 - 2008
Morgan Stanley Dean Witter 1982 - 1987
new york stock exchange 1977 - 1982
Skills
Securities, Fixed Income, Capital Markets, Mutual Funds
Education
Harvard Business School 1960 — 1962
MBA
Hamilton College 1956 — 1959
BA, English, Economics
Ellen McCarthy Ellen McCarthy's Securities Industry and Financial Markets Association Experience November 2009 - August 2011
Job Executive Director, Amgen, Federal Government Affairs
Industry Government Relations
Experience
Amgen August 2011 - Present
Securities Industry and Financial Markets Association November 2009 - August 2011
The Washington Tax Group LLC January 2009 - October 2009
U.S. Senate September 2007 - December 2008
United States Marine Corps, Retired May 1987 - October 2007
PepsiCo 2001 - 2007
General Motors January 1999 - January 2001
Zack, kosnitzky, PA January 1997 - January 1999
Rumberger, Kirk & Caldwell, PA January 1994 - January 1997
US Naval Reserves May 1984 - April 1987
Skills
Tax Law, Legislative Relations, International Tax, Public Policy, Corporate Law, Finance, Due Diligence, Securities, Tax, Income Tax, Legislation, Tax Policy, Financial Services, Policy Analysis, Government, Corporate Tax, Corporate Governance, Economics, International Law, Legal Research, Policy
Education
Eckerd College
BA, Political Science
University of Florida
JD, Law
University of Miami School of Law
LlM, Tax
Amgen August 2011 - Present
Securities Industry and Financial Markets Association November 2009 - August 2011
The Washington Tax Group LLC January 2009 - October 2009
U.S. Senate September 2007 - December 2008
United States Marine Corps, Retired May 1987 - October 2007
PepsiCo 2001 - 2007
General Motors January 1999 - January 2001
Zack, kosnitzky, PA January 1997 - January 1999
Rumberger, Kirk & Caldwell, PA January 1994 - January 1997
US Naval Reserves May 1984 - April 1987
Skills
Tax Law, Legislative Relations, International Tax, Public Policy, Corporate Law, Finance, Due Diligence, Securities, Tax, Income Tax, Legislation, Tax Policy, Financial Services, Policy Analysis, Government, Corporate Tax, Corporate Governance, Economics, International Law, Legal Research, Policy
Education
Eckerd College
BA, Political Science
University of Florida
JD, Law
University of Miami School of Law
LlM, Tax
David Glanbock's Securities Industry and Financial Markets Association Experience January 2012 - May 2012
Job Advisory Senior Associate at PwC, CFA Level II Candidate
Industry Management Consulting
Experience
PwC August 2013 - Present
Federal Reserve Board November 2012 - August 2013
Cambridge Associates June 2012 - November 2012
Securities Industry and Financial Markets Association January 2012 - May 2012
Bloomberg BGov June 2011 - August 2011
American Enterprise Institute January 2011 - April 2011
United States Department of the Interior September 2010 - December 2010
The McLaughlin Group July 2010 - August 2010
Smithsonian Institution June 2010 - August 2010
Grassroots Campaigns May 2010 - July 2010
Skills
Policy, Research, Non-profits, Writing, Policy Analysis, Statistical Data..., Statistical Analysis..., Public Policy, Economics, Data Analysis, Government, Analysis, International Relations, Management, Nonprofits, Project Management
Education
The George Washington University 2008 — 2012
BS, Economics, Summa cum laude
Peking University 2011 — 2011
N/A, Chinese and Economics
Staten Island Tech 2004 — 2008
PwC August 2013 - Present
Federal Reserve Board November 2012 - August 2013
Cambridge Associates June 2012 - November 2012
Securities Industry and Financial Markets Association January 2012 - May 2012
Bloomberg BGov June 2011 - August 2011
American Enterprise Institute January 2011 - April 2011
United States Department of the Interior September 2010 - December 2010
The McLaughlin Group July 2010 - August 2010
Smithsonian Institution June 2010 - August 2010
Grassroots Campaigns May 2010 - July 2010
Skills
Policy, Research, Non-profits, Writing, Policy Analysis, Statistical Data..., Statistical Analysis..., Public Policy, Economics, Data Analysis, Government, Analysis, International Relations, Management, Nonprofits, Project Management
Education
The George Washington University 2008 — 2012
BS, Economics, Summa cum laude
Peking University 2011 — 2011
N/A, Chinese and Economics
Staten Island Tech 2004 — 2008
Chris Donach Chris Donach's Securities Industry and Financial Markets Association Experience 1997 - Present
Job Asst. Vice President, Graphic Production at SIFMA
Industry Financial Services
Experience
SIFMA 1997 - Present
Securities Industry and Financial Markets Association 1997 - Present
Investment Dealers' Digest March 1993 - December 1997
KPMG August 1989 - March 1993
Skills
Creative Direction, Marketing Communications, Creative Problem Solving, Budgeting, Adobe Creative Suite, Print Production, Photoshop, Dreamweaver, Graphic Design, InDesign, Microsoft Office, PowerPoint, Illustrator, HTML, Vendor Management, Excel, Pre-press, Production, Newsletters, Print Production..., Digital Printing, Budgets, Magazines, Direct Mail, Adobe Acrobat, Publications, QuarkXPress, Corporate Branding, Advertising, Direct Marketing, Integrated Marketing, Brand Development, Brochures, Email Marketing, Content Management, Copywriting, Digital Marketing, Microsoft Excel
Education
Baruch College, City University of New York (CUNY) 1981 — 1985
BA, Marketing/Advertising
SIFMA 1997 - Present
Securities Industry and Financial Markets Association 1997 - Present
Investment Dealers' Digest March 1993 - December 1997
KPMG August 1989 - March 1993
Skills
Creative Direction, Marketing Communications, Creative Problem Solving, Budgeting, Adobe Creative Suite, Print Production, Photoshop, Dreamweaver, Graphic Design, InDesign, Microsoft Office, PowerPoint, Illustrator, HTML, Vendor Management, Excel, Pre-press, Production, Newsletters, Print Production..., Digital Printing, Budgets, Magazines, Direct Mail, Adobe Acrobat, Publications, QuarkXPress, Corporate Branding, Advertising, Direct Marketing, Integrated Marketing, Brand Development, Brochures, Email Marketing, Content Management, Copywriting, Digital Marketing, Microsoft Excel
Education
Baruch College, City University of New York (CUNY) 1981 — 1985
BA, Marketing/Advertising
Kim Chamberlain Kim Chamberlain's Securities Industry and Financial Markets Association Experience November 2006 - Present
Job Managing Director & Associate General Counsel at Securities Industry and Financial Markets Association
Industry Financial Services
Experience
Securities Industry and Financial Markets Association November 2006 - Present
Securities Industry Association November 2001 - November 2006
Securities Industry Association January 2001 - November 2001
United Technologies September 1997 - December 2000
Akin Gump Strauss Hauer & Feld LLP September 1988 - August 1997
Texas Office of State-Federal Relations January 1995 - March 1995
Clinton-Gore Transition Team November 1992 - December 1992
Skills
Management, Securities, Legislative Relations, Policy, Corporate Governance
Education
Securities Industry Institute 2013 — 2015
University of Virginia School of Law 1985 — 1988
Doctor of Law (J.D.)
Dickinson College 1981 — 1985
Bachelor of Arts (B.A.), Political Science, Policy and Management Studies, Magna Cum Laude
Securities Industry and Financial Markets Association November 2006 - Present
Securities Industry Association November 2001 - November 2006
Securities Industry Association January 2001 - November 2001
United Technologies September 1997 - December 2000
Akin Gump Strauss Hauer & Feld LLP September 1988 - August 1997
Texas Office of State-Federal Relations January 1995 - March 1995
Clinton-Gore Transition Team November 1992 - December 1992
Skills
Management, Securities, Legislative Relations, Policy, Corporate Governance
Education
Securities Industry Institute 2013 — 2015
University of Virginia School of Law 1985 — 1988
Doctor of Law (J.D.)
Dickinson College 1981 — 1985
Bachelor of Arts (B.A.), Political Science, Policy and Management Studies, Magna Cum Laude
Justin Dowell Justin Dowell's Securities Industry and Financial Markets Association Experience February 2012 - August 2012
Job Senior Associate at PwC Financial Services Regulatory Practice
Industry Law Practice
Experience
PwC Summer Associate - Financial Services Regulatory PracticePwCMay 2013 - August 2013
Securities Industry and Financial Markets Association February 2012 - August 2012
D.C. Government - Office of Contracting and Procurement June 2011 - August 2011
Federal Reserve Board July 2008 - August 2010
Skills
Legal Research, Securities, Legal Writing, Westlaw, Government, Economics, Corporate Finance, Lexis, Finance, Budget, Bloomberg Law, Budgets, Securities Regulation, Financial Services
Education
The George Washington University Law School 2010 — 2013
Juris Doctor, Master of Business Administration, Banking, Corporate, Finance, and Securities Law
Virginia Polytechnic Institute and State University (Virginia Tech) 2004 — 2008
Bachelor of Science, Economics and Finance
The George Washington University
The George Washington University
The George Washington University
PwC Summer Associate - Financial Services Regulatory PracticePwCMay 2013 - August 2013
Securities Industry and Financial Markets Association February 2012 - August 2012
D.C. Government - Office of Contracting and Procurement June 2011 - August 2011
Federal Reserve Board July 2008 - August 2010
Skills
Legal Research, Securities, Legal Writing, Westlaw, Government, Economics, Corporate Finance, Lexis, Finance, Budget, Bloomberg Law, Budgets, Securities Regulation, Financial Services
Education
The George Washington University Law School 2010 — 2013
Juris Doctor, Master of Business Administration, Banking, Corporate, Finance, and Securities Law
Virginia Polytechnic Institute and State University (Virginia Tech) 2004 — 2008
Bachelor of Science, Economics and Finance
The George Washington University
The George Washington University
The George Washington University
Richard Agster Richard Agster's Securities Industry and Financial Markets Association Experience May 1998 - August 1998
Job Director of Fixed Income Compliance at Raymond James
Industry Financial Services
Experience
Raymond James February 2010 - Present
AgsterGroup July 2009 - January 2010
GunnAllen Financial December 2008 - July 2009
Foley & Lardner LLP January 2005 - November 2008
Bryant Miller Olive January 2004 - December 2004
Sidley Austin August 2000 - December 2003
Securities Industry and Financial Markets Association May 1998 - August 1998
Skills
Due Diligence, Equities, Finance, IPO, Investment Banking, Investments, Mergers, Mergers, Private Equity, Private Placements, Sales, Securities, Strategic Planning, Structured Finance, Venture Capital
Education
Northwestern University School of Law 1997 — 2000
JD, Business Associations
Rollins College - Crummer Graduate School of Business 1995 — 1997
MBA, Management
University of Central Florida 1991 — 1995
BA, Music Performance
Plant High 1988 — 1991
Raymond James February 2010 - Present
AgsterGroup July 2009 - January 2010
GunnAllen Financial December 2008 - July 2009
Foley & Lardner LLP January 2005 - November 2008
Bryant Miller Olive January 2004 - December 2004
Sidley Austin August 2000 - December 2003
Securities Industry and Financial Markets Association May 1998 - August 1998
Skills
Due Diligence, Equities, Finance, IPO, Investment Banking, Investments, Mergers, Mergers, Private Equity, Private Placements, Sales, Securities, Strategic Planning, Structured Finance, Venture Capital
Education
Northwestern University School of Law 1997 — 2000
JD, Business Associations
Rollins College - Crummer Graduate School of Business 1995 — 1997
MBA, Management
University of Central Florida 1991 — 1995
BA, Music Performance
Plant High 1988 — 1991
Lane Teller, CFA Lane Teller, CFA's Securities Industry and Financial Markets Association Experience September 2010 - December 2010
Job Senior Supervisory Financial Analyst at Federal Reserve Board
Industry Banking
Experience
Board of Governors of the Federal Reserve System January 2012 - Present
U.S. Department of the Treasury January 2011 - June 2011
Securities Industry and Financial Markets Association September 2010 - December 2010
Royal Bank of Scotland June 2008 - May 2009
ABN AMRO July 2005 - June 2008
Education
American University - School of Public Affairs 2009 — 2011
Masters, Public Administration
Oregon State University - College of Business 2001 — 2005
B.S., Business Administration
Copenhagen Business School 2004 — 2004
Student Exchange, International Business
Board of Governors of the Federal Reserve System January 2012 - Present
U.S. Department of the Treasury January 2011 - June 2011
Securities Industry and Financial Markets Association September 2010 - December 2010
Royal Bank of Scotland June 2008 - May 2009
ABN AMRO July 2005 - June 2008
Education
American University - School of Public Affairs 2009 — 2011
Masters, Public Administration
Oregon State University - College of Business 2001 — 2005
B.S., Business Administration
Copenhagen Business School 2004 — 2004
Student Exchange, International Business
Courtney Chamberlain Courtney Chamberlain's Securities Industry and Financial Markets Association Experience June 2013 - August 2013
Job Public Relations/Investor Relations Associate at DHI Group, Inc.
Industry
Experience
DHI Group, Inc. July 2014 - Present
Lehigh University's Office of International Affairs August 2013 - May 2014
Rodale Inc. January 2014 - April 2014
Securities Industry and Financial Markets Association June 2013 - August 2013
Saint Barnabas Medical Center May 2009 - January 2013
Fleck Consulting September 2012 - December 2012
Social Entrepreneur Corps. July 2012 - August 2012
Senator Anthony R. Bucco May 2012 - June 2012
Congressman Charles Dent January 2012 - May 2012
Skills
Proficient in Microsoft..., Spanish, Customer Service, Editorial, Internal Communications, Magazines, Social Media, Social Skills, Social Entrepreneurship, Nonprofits, Public Speaking, Leadership, Access, Research
Education
Lehigh University 2010 — 2014
Bachelor of Arts (B.A.), Political Science, Global Studies, and Spanish
DHI Group, Inc. July 2014 - Present
Lehigh University's Office of International Affairs August 2013 - May 2014
Rodale Inc. January 2014 - April 2014
Securities Industry and Financial Markets Association June 2013 - August 2013
Saint Barnabas Medical Center May 2009 - January 2013
Fleck Consulting September 2012 - December 2012
Social Entrepreneur Corps. July 2012 - August 2012
Senator Anthony R. Bucco May 2012 - June 2012
Congressman Charles Dent January 2012 - May 2012
Skills
Proficient in Microsoft..., Spanish, Customer Service, Editorial, Internal Communications, Magazines, Social Media, Social Skills, Social Entrepreneurship, Nonprofits, Public Speaking, Leadership, Access, Research
Education
Lehigh University 2010 — 2014
Bachelor of Arts (B.A.), Political Science, Global Studies, and Spanish
John Brodish's Securities Industry and Financial Markets Association Experience June 2012 - August 2012
Job Studying UX Design at General Assembly
Industry Political Organization
Experience
American Chemical Society December 2014 - Present
P&R Inventions LLC October 2014 - January 2015
LegiStorm July 2014 - October 2014
U.S. House of Representatives February 2014 - May 2014
Lehigh University August 2011 - August 2013
Securities Industry and Financial Markets Association June 2012 - August 2012
Pennsylvania House of Representatives September 2011 - December 2011
Skills
Social Media, Research, Leadership, Social Networking, Editing, Project Management, Creative Writing, Managing Project Budgets, Coordinating Events, Managing Database, UX Design, HTML, Mobile Technology, Front-end Design, Web Analytics, Strategic Data Analysis, Digital Photography, WordPress
Education
Lehigh University 2009 — 2013
Bachelor of Arts (B.A.), Political Science & Economics
General Assembly
UX Design
American Chemical Society December 2014 - Present
P&R Inventions LLC October 2014 - January 2015
LegiStorm July 2014 - October 2014
U.S. House of Representatives February 2014 - May 2014
Lehigh University August 2011 - August 2013
Securities Industry and Financial Markets Association June 2012 - August 2012
Pennsylvania House of Representatives September 2011 - December 2011
Skills
Social Media, Research, Leadership, Social Networking, Editing, Project Management, Creative Writing, Managing Project Budgets, Coordinating Events, Managing Database, UX Design, HTML, Mobile Technology, Front-end Design, Web Analytics, Strategic Data Analysis, Digital Photography, WordPress
Education
Lehigh University 2009 — 2013
Bachelor of Arts (B.A.), Political Science & Economics
General Assembly
UX Design
Michael Drennen Michael Drennen's Securities Industry and Financial Markets Association Experience April 2010 - December 2012
Job Director at Barclays
Industry Financial Services
Experience
Barclays June 2015 - Present
Barclays January 2013 - June 2015
Securities Industry and Financial Markets Association April 2010 - December 2012
Deloitte 2007 - 2010
UBS Securities Clearance Corp (formerly known as ABN Amro Sage Corp.) 2004 - 2007
National Financial 1999 - 2004
Barclays Capital 1998 - 1999
National Financial 1997 - 1998
Skills
Prime Brokerage, Accounting, Relationship Management, Securities, Financial Markets, Series 7, Fixed Income, Equities, Mutual Funds, Capital Markets, Trading, Risk Management, Brokerage, FINRA, Banking, Series 24, Executive Management, Hedge Funds, Investments, Business Analysis, Finance, Financial Services, Middle Office, Options, Strategy, Trading Systems
Education
Fordham University - Graduate School of Business Administration 2003 — 2007
M.B.A., Finance, Accouting & Taxation
New York University 1993 — 1997
B.S., Communications Studies
New York University 1993 — 1997
Professional Certificate, Financial Risk Management
Barclays June 2015 - Present
Barclays January 2013 - June 2015
Securities Industry and Financial Markets Association April 2010 - December 2012
Deloitte 2007 - 2010
UBS Securities Clearance Corp (formerly known as ABN Amro Sage Corp.) 2004 - 2007
National Financial 1999 - 2004
Barclays Capital 1998 - 1999
National Financial 1997 - 1998
Skills
Prime Brokerage, Accounting, Relationship Management, Securities, Financial Markets, Series 7, Fixed Income, Equities, Mutual Funds, Capital Markets, Trading, Risk Management, Brokerage, FINRA, Banking, Series 24, Executive Management, Hedge Funds, Investments, Business Analysis, Finance, Financial Services, Middle Office, Options, Strategy, Trading Systems
Education
Fordham University - Graduate School of Business Administration 2003 — 2007
M.B.A., Finance, Accouting & Taxation
New York University 1993 — 1997
B.S., Communications Studies
New York University 1993 — 1997
Professional Certificate, Financial Risk Management
Rob Brockhaus's Securities Industry and Financial Markets Association Experience May 2005 - July 2008
Job President and Founder at Red Sycamore Group
Industry Political Organization
Experience
Red Sycamore Group June 2015 - Present
Campaign Marketing Strategies March 2012 - Present
Protect America Today February 2012 - Present
Friends of Herman Cain October 2011 - December 2011
Brock Haus Rentals May 2000 - June 2011
The Heritage Foundation August 2008 - June 2009
Securities Industry and Financial Markets Association May 2005 - July 2008
U.S. Chamber of Commerce September 2004 - May 2005
The Heritage Foundation July 2004 - September 2004
House Committee for Small Business April 2004 - June 2004
Skills
Fundraising, Event Planning, Strategic Communications, Strategic Planning, Budgeting, Customer Relations, Non-profits, PowerPoint, Microsoft Office, Excel, Planning, Customer Service, Event Management, Trading, Community Outreach, Marketing Strategy, Politics, Grassroots Organizing, Nonprofits, Entrepreneurship, Marketing, Management, Volunteer Management, Leadership, Grassroots
Education
The George Washington University - School of Business 2005 — 2007
MBA, International Business and Finance
Saint Louis University
Bachelor of Science, Marketing & Management
Red Sycamore Group June 2015 - Present
Campaign Marketing Strategies March 2012 - Present
Protect America Today February 2012 - Present
Friends of Herman Cain October 2011 - December 2011
Brock Haus Rentals May 2000 - June 2011
The Heritage Foundation August 2008 - June 2009
Securities Industry and Financial Markets Association May 2005 - July 2008
U.S. Chamber of Commerce September 2004 - May 2005
The Heritage Foundation July 2004 - September 2004
House Committee for Small Business April 2004 - June 2004
Skills
Fundraising, Event Planning, Strategic Communications, Strategic Planning, Budgeting, Customer Relations, Non-profits, PowerPoint, Microsoft Office, Excel, Planning, Customer Service, Event Management, Trading, Community Outreach, Marketing Strategy, Politics, Grassroots Organizing, Nonprofits, Entrepreneurship, Marketing, Management, Volunteer Management, Leadership, Grassroots
Education
The George Washington University - School of Business 2005 — 2007
MBA, International Business and Finance
Saint Louis University
Bachelor of Science, Marketing & Management
Ken Bentsen's Securities Industry and Financial Markets Association Experience 2013 - Present
Job President & CEO at Securities Industry and Financial Markets Association
Industry Financial Services
Experience
Securities Industry and Financial Markets Association 2013 - Present
Securities Industry and Financial Markets Association September 2009 - 2013
Equipment Leasing and Finance Association April 2006 - September 2009
Susan G.Komen Foundation 2007 - 2009
Public Strategies, Inc. January 2003 - April 2006
U.S. House of Representatives January 1995 - January 2003
George K. Baum & Company April 1990 - January 1995
Drexel Burnham Lambert August 1987 - March 1990
US House of Representatives 1983 - 1987
Education
American University 1983 — 1985
MPA, Finance and Economics
University of St. Thomas (TX) 1979 — 1982
Deerfield Academy 1974 — 1977
Southern Methodist University
Securities Industry and Financial Markets Association 2013 - Present
Securities Industry and Financial Markets Association September 2009 - 2013
Equipment Leasing and Finance Association April 2006 - September 2009
Susan G.Komen Foundation 2007 - 2009
Public Strategies, Inc. January 2003 - April 2006
U.S. House of Representatives January 1995 - January 2003
George K. Baum & Company April 1990 - January 1995
Drexel Burnham Lambert August 1987 - March 1990
US House of Representatives 1983 - 1987
Education
American University 1983 — 1985
MPA, Finance and Economics
University of St. Thomas (TX) 1979 — 1982
Deerfield Academy 1974 — 1977
Southern Methodist University
Paul Rainy's Securities Industry and Financial Markets Association Experience November 2007 - November 2009
Job Junior Research Analyst at Securities Industry and Financial Markets Association (SIFMA)
Industry Financial Services
Experience
Securities Industry and Financial Markets Association November 2007 - November 2009
Securities Industry and Financial Markets Association May 2006 - October 2007
Pilot Advisors March 2005 - September 2005
UBS PaineWebber September 2003 - January 2004
Bear Stearns & Co., Inc. 2003 - 2003
Skills
Hedge Funds, Securities, Financial Markets, Mutual Funds, Equity Research, Emerging Markets, Investments, Capital Markets, Trading, Equities, Fixed Income, Bloomberg, Finance, Asset Managment, Derivatives
Education
Baruch College, City University of New York (CUNY) 2000 — 2004
BBA, Finance, 3.50
Securities Industry and Financial Markets Association November 2007 - November 2009
Securities Industry and Financial Markets Association May 2006 - October 2007
Pilot Advisors March 2005 - September 2005
UBS PaineWebber September 2003 - January 2004
Bear Stearns & Co., Inc. 2003 - 2003
Skills
Hedge Funds, Securities, Financial Markets, Mutual Funds, Equity Research, Emerging Markets, Investments, Capital Markets, Trading, Equities, Fixed Income, Bloomberg, Finance, Asset Managment, Derivatives
Education
Baruch College, City University of New York (CUNY) 2000 — 2004
BBA, Finance, 3.50
Steven Davidson CFA's Securities Industry and Financial Markets Association Experience May 2003 - July 2008
Job Senior Investment Analyst at US Department of Treasury
Industry Capital Markets
Experience
US Department of Treasury January 2011 - Present
Davidson and Associates August 2008 - December 2010
Securities Industry and Financial Markets Association May 2003 - July 2008
America's Community Bankers September 1994 - May 2003
Ferguson and Co January 1990 - July 1994
Hovde Financial November 1988 - January 1990
Federal Home Loan Bank Board May 1985 - November 1988
OCC 1983 - 1985
Education
Georgetown University 1976 — 1978
MA, Economics
CFA Institute
Chartered Financial Analyst
Knox College
BA
University of Iowa
MBA
US Department of Treasury January 2011 - Present
Davidson and Associates August 2008 - December 2010
Securities Industry and Financial Markets Association May 2003 - July 2008
America's Community Bankers September 1994 - May 2003
Ferguson and Co January 1990 - July 1994
Hovde Financial November 1988 - January 1990
Federal Home Loan Bank Board May 1985 - November 1988
OCC 1983 - 1985
Education
Georgetown University 1976 — 1978
MA, Economics
CFA Institute
Chartered Financial Analyst
Knox College
BA
University of Iowa
MBA
Jason Farago's Securities Industry and Financial Markets Association Experience June 2009 - February 2010
Job Head of Marketing & Communications, AlternativesReal Assets, Americas
Industry Financial Services
Experience
Deutsche Asset & Wealth Management September 2010 - Present
Securities Industry and Financial Markets Association June 2009 - February 2010
Lord Abbett January 2003 - June 2009
Lehman Brothers 1998 - 2002
River Communications 1996 - 1998
Skills
Marketing Communications, Corporate Communications, Strategic Communications, Advertising, Integrated Marketing, Marketing, Social Media, Strategy, Media Relations, Public Relations, Crisis Communications, Management, Marketing Strategy, Internal Communications, Financial Services
Education
Fordham University 1996 — 1998
Masters of Arts, Marketing Communications
Marist College 1992 — 1996
BA, Communications
John F. Kennedy High School 1988 — 1992
n/a, n/a
Deutsche Asset & Wealth Management September 2010 - Present
Securities Industry and Financial Markets Association June 2009 - February 2010
Lord Abbett January 2003 - June 2009
Lehman Brothers 1998 - 2002
River Communications 1996 - 1998
Skills
Marketing Communications, Corporate Communications, Strategic Communications, Advertising, Integrated Marketing, Marketing, Social Media, Strategy, Media Relations, Public Relations, Crisis Communications, Management, Marketing Strategy, Internal Communications, Financial Services
Education
Fordham University 1996 — 1998
Masters of Arts, Marketing Communications
Marist College 1992 — 1996
BA, Communications
John F. Kennedy High School 1988 — 1992
n/a, n/a
Jonathan Paret's Securities Industry and Financial Markets Association Experience November 1978 - November 2004
Job Senior Policy Advisor at Roberts, Raheb and Gradler LLC
Industry Government Relations
Experience
Roberts, Raheb and Gradler LLC December 2006 - Present
Securities Industry Association (now SIFMA) 1978 - 2007
SIFMA/SIA 1978 - 2007
Securities Industry and Financial Markets association November 1978 - November 2004
Skills
Public Policy, Legislative Relations, Legislation, Securities Regulation, Politics, Derivatives, POLITICAL FUNDRAISING, banking legislation, banking regulation, Grassroots Organizing, Strategic Planning, Corporate Communications, Policy Analysis, Banking Law, Public Affairs, Government, Coalitions, Fundraising, International Relations, Policy, Legislative Research, Grassroots, Political Campaigns, Speech Writing
Education
University of California, Berkeley - School of Law 1973 — 1976
J.D.
Colgate University 1969 — 1973
A.B., History and Political Science
Roberts, Raheb and Gradler LLC December 2006 - Present
Securities Industry Association (now SIFMA) 1978 - 2007
SIFMA/SIA 1978 - 2007
Securities Industry and Financial Markets association November 1978 - November 2004
Skills
Public Policy, Legislative Relations, Legislation, Securities Regulation, Politics, Derivatives, POLITICAL FUNDRAISING, banking legislation, banking regulation, Grassroots Organizing, Strategic Planning, Corporate Communications, Policy Analysis, Banking Law, Public Affairs, Government, Coalitions, Fundraising, International Relations, Policy, Legislative Research, Grassroots, Political Campaigns, Speech Writing
Education
University of California, Berkeley - School of Law 1973 — 1976
J.D.
Colgate University 1969 — 1973
A.B., History and Political Science
Ariadne Hutson's Securities Industry and Financial Markets Association Experience February 2013 - October 2014
Job Assistant Vice President, Human Resources at SIFMA
Industry Human Resources
Experience
SIFMA November 2014 - Present
Securities Industry and Financial Markets Association February 2013 - October 2014
EmblemHealth November 2011 - January 2013
New York Mets October 2005 - November 2011
JCDecaux August 2004 - October 2005
Amalgamated Bank June 2001 - August 2004
Amalgamated Bank February 2000 - June 2001
Century 21 Department Stores 1998 - February 2000
Skills
HRIS, Employee Benefits, Employee Relations, System Administration, Human Resources, Benefits Administration, Onboarding, Recruiting, Interviews, Payroll, Applicant Tracking..., FMLA, PeopleSoft, Talent Acquisition, Deferred Compensation, Employee Engagement, Outlook, Coaching, ADP Payroll, College Recruiting, Labor Relations, Employment Law, Talent Management, New Hire Orientations
Education
Fordham University 1995 — 1999
Economics, Business Concentration
SIFMA November 2014 - Present
Securities Industry and Financial Markets Association February 2013 - October 2014
EmblemHealth November 2011 - January 2013
New York Mets October 2005 - November 2011
JCDecaux August 2004 - October 2005
Amalgamated Bank June 2001 - August 2004
Amalgamated Bank February 2000 - June 2001
Century 21 Department Stores 1998 - February 2000
Skills
HRIS, Employee Benefits, Employee Relations, System Administration, Human Resources, Benefits Administration, Onboarding, Recruiting, Interviews, Payroll, Applicant Tracking..., FMLA, PeopleSoft, Talent Acquisition, Deferred Compensation, Employee Engagement, Outlook, Coaching, ADP Payroll, College Recruiting, Labor Relations, Employment Law, Talent Management, New Hire Orientations
Education
Fordham University 1995 — 1999
Economics, Business Concentration
Alan Sorcher's Securities Industry and Financial Markets Association Experience March 1999 - October 2008
Job U.S. Securities and Exchange Commission
Industry Financial Services
Experience
Office of Investor Education and Advocacy, U.S. Securities and Exchange Commission December 2013 - Present
Deloitte Financial Advisory Services August 2010 - November 2013
Financial Crimes Enforcement Network, US Department of the Treasury April 2009 - July 2010
Securities Industry and Financial Markets Association March 1999 - October 2008
Board of Governors of the Federal Reserve System January 1993 - February 1999
Securities and Exchange Commission March 1987 - December 1992
Skills
AML, Securities, Fraud, Securities Regulation, Financial Services, Anti Money Laundering, Due Diligence, FCPA, Corporate Governance, Financial Institutions, Private Investigations, Banking, OFAC, Privacy Law, Litigation, Risk Assessment, FINRA, Financial Regulation, Hedge Funds, Regulations, Civil Litigation, Enforcement, Policy, Legal Writing, SEC, USA PATRIOT Act
Education
Boston University School of Law
JD
University of Pennsylvania
BA, Political Science
Office of Investor Education and Advocacy, U.S. Securities and Exchange Commission December 2013 - Present
Deloitte Financial Advisory Services August 2010 - November 2013
Financial Crimes Enforcement Network, US Department of the Treasury April 2009 - July 2010
Securities Industry and Financial Markets Association March 1999 - October 2008
Board of Governors of the Federal Reserve System January 1993 - February 1999
Securities and Exchange Commission March 1987 - December 1992
Skills
AML, Securities, Fraud, Securities Regulation, Financial Services, Anti Money Laundering, Due Diligence, FCPA, Corporate Governance, Financial Institutions, Private Investigations, Banking, OFAC, Privacy Law, Litigation, Risk Assessment, FINRA, Financial Regulation, Hedge Funds, Regulations, Civil Litigation, Enforcement, Policy, Legal Writing, SEC, USA PATRIOT Act
Education
Boston University School of Law
JD
University of Pennsylvania
BA, Political Science
SIFMA
Association of American Railroads
National Fisheries Institute
World Cocoa Foundation
American Apparel & Footwear Association
Information Technology Association of America
The Internet Association
American Horse Council