Smith Barney Inc.
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Smith Barney Inc. Employees
Oasis Senior Advisors Franchise Systems, LLC Business ManagerOasis Senior Advisors Franchise Systems, LLC2014 - Present
Greenhill & Co., LLC January 1996 - February 1997
Smith Barney Inc. August 1993 - January 1996
Morgan Staley Group Inc. July 1986 - January 1990
Education
University of Maryland Baltimore County
Bachelor of Arts (B.A.), Modern Languages and Linguistics
Kramer Consultants, LLC 2004 - Present
Kia Motors America, Inc. 1996 - 2004
Smith Barney, Inc. 1990 - 1995
Ford Division 1980 - 1990
Skills
Customer Satisfaction, Management, Account Management, Sales Management, Automotive Aftermarket, Parts, Vehicles, Negotiation, Cross-functional Team..., Competitive Analysis, Strategic Planning, Training, Leadership, Marketing Strategy, Customer Retention, Automotive, Sales Operations, Market Research, Automobile, New Business Development, Customer Service, Budgets, Team Building, Marketing, Contract Negotiation, Process Improvement, Sales, Forecasting, Materials, Operations Management, Sales Process, Profit, Market Analysis, Strategy, Dealers, Business Planning
Education
Tulane University - A.B. Freeman School of Business
M.B.A., Marketing/Management, General
University of Wisconsin-Madison
B.S., Double Major in Economics and Communication Arts
Google May 2014 - Present
Evernote July 2012 - February 2014
Amazon June 2011 - August 2011
Google June 2009 - August 2010
Google March 2005 - May 2009
Oplink Communications Inc. August 2004 - February 2005
Smith Barney Inc. March 2003 - September 2003
Silicon Valley Bank June 2002 - August 2002
Skills
Product Management, Cross-functional Team..., CRM, Management, Enterprise Software, Strategy, Training, Sales Operations, Marketing, Business Development, Sales, Integration, SaaS, Project Management, Sales Management
Education
Northwestern University - Kellogg School of Management 2010 — 2012
MBA, Marketing
University of California, Berkeley 2000 — 2004
Bachelor of Arts, Double Major: Political Science, Communications
SunTrust November 2013 - April 2014
HSBC Securities February 2009 - September 2013
Smith Barney, Inc. September 2000 - January 2009
Skills
Series 7, Wealth Management, Portfolio Management, Mutual Funds, Asset Allocation, Equities, Series 63, Fixed Income, Financial Markets, Asset Management, Banking, Investment Advisory, Series 65, Investment Strategies, Securities, Wealth Management..., Capital Markets, Finance, Strategy, Derivatives, AML, Investment Banking, Strategic Financial..., Emerging Markets, Investment Management, Series 9, Series 10, Securities Regulation, Securities Sales..., Trade Compliance, GA Life, Accident &..., Series 6, Series 31, Revenue & Profit Growth, Business Development, Financial Advisory, Retirement Planning, Bloomberg, Trading Systems, Options, Structured Products, Foreign Exchange, Precious Metals, Home Equity Loans, Compliance, Private Banking, Investment Brokerage, Retail Banking, Employee Training, Microsoft Office
Education
University of Miami - School of Business 2003 — 2004
MBA, International Business
Florida International University 1992 — 1994
B.S., Mass Communication & Journalism
Lake Mary High School
Atlas Network November 2009 - Present
Atlas Network April 1998 - November 2009
The Progress & Freedom Foundation June 1997 - April 1998
Smith Barney Inc. October 1995 - May 1997
Skills
Nonprofits, Fundraising, Research, Publishing, Liberty, Leadership, Books, Policy Analysis
Education
Goizueta Business School, Emory University 1993 — 1995
Master of Business Administration (MBA)
Princeton University 1988 — 1992
Bachelor of Arts (B.A.), Sociology
Big Brothers Big Sisters of NYC September 2005 - Present
Morgan Stanley Smith Barney June 2009 - Present
Morgan Stanley Wealth Management 1991 - Present
Smith Barney Inc. May 2005 - June 2009
Smith Barney Inc. November 1997 - May 2005
Skills
Wealth Management, Management, Financial Services, Risk Assessment, Legal Compliance, Legal Issues, Legal Review, Event Planning, Networking, Marketing, Social Media, Accounting, Training, Leadership, Nonprofits, Recruiting, Fundraising, Entrepreneurship, Social Networking, Community Outreach, Microsoft Office, Public Speaking, Spanish
Education
Baruch College 2000 — 2004
Bachelor of Business Administration (B.B.A.), Entrepreneurial and Small Business Operations
Borough of Manhattan Community College 1998 — 2000
Associate of Arts (A.A.), Business Administration and Management, General
Vitol Group August 2015 - Present
Vitol Group August 2012 - July 2015
TFS Energy July 2008 - May 2012
Oppenheimer & Co, Inc. May 2007 - August 2007
Smith Barney Inc. January 2007 - April 2007
Shamrock Lacrosse June 2006 - August 2006
Skills
Natural Gas, Petroleum, Financial Modeling, Financial Analysis, Commodity, Data Analysis, Technical Analysis, Brokers
Education
University of Oklahoma - Price College of Business 2013 — 2015
Master of Business Administration (MBA)
Gettysburg College 2004 — 2008
BA
American University
Washington Semester
Newark Academy 2000 — 2004
EY July 2015 - Present
ALPFA, Inc. — Empowering Latino Leaders October 2012 - Present
EY October 2008 - June 2015
ALPFA, Inc. — Empowering Latino Leaders October 2007 - September 2011
ALPFA, Inc. — Empowering Latino Leaders March 2006 - December 2008
EY October 1996 - September 2008
Smith Barney, Inc. May 1995 - August 1995
Skills
US GAAP, Consolidation, Revenue Recognition, IFRS, Leases, Business Combinations, SEC Reporting, Acquisition Integration, M&A due diligence, Carve-outs, Business, SEC filings, Financial Reporting, Internal Controls, Financial Accounting, Finance, Sarbanes-Oxley Act, Financial Analysis, General Ledger, Cash Flow, Mergers & Acquisitions, Accounting, Due Diligence, SEC Filings
Education
Rutgers University-New Brunswick 1991 — 1996
B.S., Accounting
TakeTheTour January 1995 - Present
Hockey East 1986 - October 2012
Patriot Pension Advisors 2005 - April 2012
Russian Exports, Inc. October 1992 - January 1995
Smith Barney Inc. August 1983 - January 1988
Skills
Residential Homes, Real Estate, Commercial Real Estate, Sellers, Business Development, Photography, Property, New Business Development, Selling, Marketing, Marketing Strategy, Sales, Sales Management
Education
University of Notre Dame 1975 — 1979
BA, Management
Phillips Academy Andover 1972 — 1975
St. Sebastian's 1968 — 1972
Citi May 2006 - November 2013
Citi May 2006 - November 2013
Morgan Stanley January 2005 - April 2006
Bank Julius Baer July 2004 - January 2005
US Trust Company US Trust Technology and Support July 2000 - June 2004
Charles Schwab & Co., Inc January 1999 - July 2000
Smith Barney Inc April 1995 - January 1999
Skills
Fixed Income, Banking, Portfolio Management, Equities, Capital Markets, Credit, Derivatives, Financial Services, Loans, Risk Management, Investments, Hedge Funds, Financial Modeling, Credit Risk
Education
Nassau Community College
Business Administration
St. John's University
Sullivan County Community College
Completed Credits toward BA Degree, Business Administration, Management and Operations
ABM Engineering Services June 2011 - April 2012
The Langham Pasadena November 2008 - February 2010
IDS Real Estate Group December 2006 - May 2008
Smith Barney, Inc. October 2004 - May 2005
Education
California State University, Los Angeles - College of Business and Economics 2002 — 2006
Bachelor's Degree, Business Administration/Accounting
Ameritas 2015 - Present
Private 2012 - 2015
Securian Financial Group 2006 - 2011
Security Benefit 1999 - 2005
Smith Barney, Inc. 1992 - 1999
Paine Webber, Inc. 1989 - 1992
Drexel Burnham Lambert, Inc. 1985 - 1988
Drexel Burnham Lambert, Inc. 1983 - 1985
Skills
Sales Management, Relationship Management, New Business Development, Strategic Planning, Cross-functional Team..., Investment Management, Mutual Funds, Fixed Annuities, Life Insurance, Variable Annuities, Indexed Annuities, ETFs, Alternative Investments, Retirement Planning, Investments, 401k, Investment Advisory, Portfolio Management, Retirement, Asset Allocation, Securities
Education
University of Miami - School of Business
Master of Business Administration (M.B.A.), Finance
University of Florida
Bachelor of Arts (B.A.), Psychology
Wells Fargo Advisors, LLC February 2009 - Present
Smith Barney inc. 1999 - 2009
Prudential Securities inc. 1994 - 1999
Paine Webber Inc. 1990 - 1994
Bear Stearns & Co. 1987 - 1990
Skills
Hedge Funds, Financial Analysis, 401k, ETFs, Capital Markets, Financial Modeling, Financial Services, Risk Management
Education
UMass Lowell
Bachelor's degree, Finance, Computer Science-Minor
Dittrich Consulting Corp January 1989 - Present
Coopers & Lybrand January 1986 - December 1988
Smith Barney Inc. January 1983 - December 1985
Arthur Anderson & Co. June 1978 - December 1982
Skills
Tax, Mergers & Acquisitions, Investments, Small Business, Retirement, Tax Law, CPA, Accounting, Financial Reporting, Management Consulting, Financial Analysis, Auditing, Corporate Tax, Income Tax, Due Diligence
Education
New York University 1982 — 1983
Master's degree, Taxation, Pretty Good
New York University 1980 — 1981
Master of Business Administration (MBA), Finance, General, Pretty Good
Lehigh University - College of Business and Economics 1974 — 1978
Bachelor of Science (BS), Accounting, Pretty Good
Prominent Properties Sotheby's International Realty 2014 - Present
DRMS Enterprises 2014 - 2015
The Depository Trust & Clearing Corporation 2012 - 2014
The Depository Trust & Clearing Corporation 2007 - 2012
The Depository Trust & Clearing Corporation 2006 - 2007
HSBC 2004 - 2006
Smith Barney, Inc. 2002 - 2004
Education
City University of New York-Baruch College - Zicklin School of Business
BBA, Finance and Investments
Divine Capital Markets October 2003 - Present
May Davis Group January 1997 - October 2003
Bear, Stearns & Co. Inc. July 1996 - January 1997
Smith Barney Inc. July 1993 - July 1996
DuPont Pharmaceuticals January 1991 - July 1993
Skills
ETFs, Equity Trading, Series 7, Options, Trading, Capital Markets, Series 63, Equities, Investment Banking, Bloomberg, Trading Systems, Financial Analysis, Investments, Emerging Markets, Venture Capital, Equity Research, Asset Management, Fixed Income, Financial Markets, Valuation, Alternative Investments, Trading Strategies, Securities, Portfolio Management, Private Equity, Private Placements, FINRA, Investment Strategies, Currency, Equity Derivatives, Financial Modeling
Education
University of South Florida 1982 — 1986
Bachelor of Arts, Advertising/Mass Communications
Forest Hills High School
Jaguar Land Rover NA, LLC 2004 - Present
Ford Motor Company 1997 - 2008
Smith Barney Inc 1991 - 1996
Skills
Marketing, Operating Budgets, Strategic Sales Plans, Warranty, Extended Warranty, Luxury Brand Marketing, Customer Experience..., Financial Analysis, Financial Audits, Process Improvement, Incentive Programs, Customer Relationship..., CRM, Strategy, Program Management, Forecasting, Automotive, Customer Satisfaction, Marketing Strategy, Customer Retention, Networking, Direct Sales, Account Management, Operations Management, Sales Management, Automobile, Cross-functional Team..., Vehicles, Business Development, Management, Budgets, Retail, Analysis, Competitive Analysis, Pricing, Project Planning, Finance, Training, Business Planning, Profit, Sales Process, Sales Operations, Market Analysis, Customer Experience
Education
Fordham University - Graduate School of Business Administration
MBA, Finance
University of Notre Dame - Mendoza College of Business
BBA, Finance
Newmark Grubb Knight Frank August 2012 - Present
Ankeny Ash Partners April 2012 - Present
Meriwether Condominium Owners Association November 2011 - Present
Morgan Stanley June 2009 - April 2012
Citigroup Inc. 2004 - 2009
Smith Barney Inc. 1994 - 2004
Shearson Lehman Brothers/EF Hutton 1985 - 1994
Procter & Gamble June 1984 - January 1985
Skills
Organizational..., Account Management, Team Management, Portfolio Management, Client Relationship..., Transaction Management, Property Management, Strategic Planning, Project Management, Lease Negotiation, Business Relationship..., Executive Level..., Financial Analysis, Real Estate Finance, Marketplace Mapping, Dispositions, Dashboard Reporting, Contract Negotiation, Customer Relations, Lease Administration, Space Planning, Organizational Change, Lease Negotiations, Real Estate Economics, Disposition, Corporate Real Estate, Negotiation, Facilities Management, Leases, Space planning, Vendor Management, Customer Service, Commercial Real Estate, Location Intelligence, Leadership, Real Estate, CRM, Asset Management, Business Development, Management, Start-ups, Property, Acquisitions, Brokerage, Real Estate Development, Due Diligence, Business Strategy, Real Estate Transactions, Investments, Valuation
Education
Oregon State University 1980 — 1984
BS, Business Management
E*TRADE Financial Corporation March 2015 - Present
E*TRADE Financial Corporation August 2012 - Present
Computershare September 2006 - July 2013
Computershare July 2005 - September 2006
Computershare April 2004 - July 2005
Smith Barney Inc July 2002 - February 2004
UBS/Paine Webber Inc. August 2001 - April 2002
Datek Online Brokerage Services LLC. February 2000 - June 2001
Skills
Finance, Financial Services, Equities, Securities, Series 7, Relationship Management, Equity Compensation, ASC 718 Reporting, Equity Edge Online, Certified Equities..., Project Management, New Client...
Education
Berkeley College 2004 — 2008
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General
Berkeley College-Woodland Park 1996 — 1998
Associate of Science (A.S.), International Business
Schottenfeld LLC 2007 - Present
Schonfeld Group 2004 - 2007
Cantor, Weiss, & Friedner Inc. 2002 - 2004
Investprivate 2001 - 2002
Prime Charter Ltd. 1996 - 2000
Smith Barney Inc. 1993 - 1996
Lehman Brothers 1993 - 1993
Skills
Series 7, Series 55, Series 63, Electronic Trading, Equity Trading, FINRA, Financial Services, Equity Derivatives, Investment Banking, Trading Systems, Hedge Funds, Trading, Alternative Investments, Options, Fixed Income, Investments, Equities, Trading Strategies, Financial Markets, Securities, Bloomberg, Commodity, Global Macro, Proprietary Trading, Derivatives, Hedging, Technical Analysis, ETFs, Equity Research
Education
CFA Institute
Candidate
The George Washington University
BS, Political Science
University of Athens
Elements Financial Federal Credit Union October 2005 - Present
Natcity Investments Inc March 2003 - October 2005
Fisher Investments June 2001 - March 2003
Banc One Securities Corporation April 1998 - June 2001
Smith Barney, Inc. December 1993 - April 1998
Skills
Investments, Strategic Financial..., Wealth Management, Insurance, Securities, Portfolio Management, Investment Management
Education
Indiana State University - Scott College of Business 1973 — 1977
B.S., Marketing
IPC Systems, Inc. August 2013 - Present
British Telecom Global Banking & Financial Markets/Trading Systems December 2003 - August 2013
Solomon Page ITP - Comcap 1996 - 2003
Smith Barney, Inc 1992 - 1996
Merrill Lynch 1992 - 1994
Centel/Williams Group 1990 - 1992
Skills
VoIP, Telecommunications, Avaya, Service Delivery, Network Design, Switches, Data Center, Managed Services, Troubleshooting, Vendor Management, SIP, Cisco Technologies, ITIL, Visio, MS Project, Management, IT Service Management, Networking, IT Strategy, Project Management, Outsourcing, TCP/IP, CRM, PMO
Education
Morgan State University 1979 — 1984
Business Admin
Raymond James February 2014 - Present
ARCA Capital Investments November 2012 - January 2014
NorthStar Alternatives, LLC March 2009 - November 2012
Quantek Asset Management January 2005 - January 2009
Franco Asset Management LP January 2003 - December 2004
Smith Barney, Inc. October 1999 - December 2002
Skills
Capital Raising, Securities, Marketing, Series 63, Due Diligence
Education
University of North Texas 1979 — 1983
Bachelor in Business Administration, Finance
Christopher Columbus High School 1977 — 1978
High School Diploma
Colegio Santa Maria 1970 — 1977
High School Diploma
Wells Fargo Advisors October 2012 - Present
LPL Financial August 2011 - October 2012
MetLife March 2010 - July 2011
Morgan Stanley Smith Barney June 2009 - September 2009
Smith Barney, Inc September 2002 - September 2009
Citigroup January 1997 - September 2009
Salomon Smith Barney, Inc February 2001 - September 2002
Salomon Smith Barney, Inc January 1997 - February 2001
Skills
Securities, FINRA, AML, Internal Audit, Brokerage, Series 63, Mutual Funds, Wealth Management, Risk Management, Investments, Insurance, Asset Managment, Financial Risk, Financial Services, Series 9 & 10, Series 7, Series 65, Brokerage Operations..., Securities Compliance, Asset Allocation, Asset Management, Retirement, Strategic Financial..., Alternative Investments, Employee Benefits, Financial Advisory, Financial Analysis, Investment Advisory, Portfolio Management, Retirement Planning, Trading, Fixed Annuities, Options, Series 24
Education
Robert Morris College 1995 — 1997
Bachelor of Science, Business Administration
Robert Morris University 1995 — 1997
Bachelor of Science, Business Administration
Penn State University 1990 — 1992
Bethel Park High School 1986 — 1990
Associated Press November 2013 - November 2013
American Express June 2012 - January 2013
Deutsche Bank June 2010 - December 2010
Value Line, Inc. 2009 - 2009
Peek 2009 - 2009
Smith Barney, Inc. 2000 - 2007
PaineWebber 2000 - 2000
SmartMoney.com 2000 - 2000
The New York Times 1997 - 2000
Skills
Visio, Technical Writing, Software Documentation, SharePoint, Adobe Acrobat, Captivate, RoboHelp, FrameMaker, Online Help, Technical Documentation, E-Learning, Manuals, Quality Assurance, Editing, Content Management, HTML, SnagIt, Instructional Design, Management, Web Content, Information Architecture, Software Project..., Program Management, Publishing, Dreamweaver, Content Development, Analysis, Corporate Communications, Process Improvement, Interviews, Web Content Management, Employee Training, Content Strategy, SDLC, Proposal Writing, Newsletters, Proofreading, Copy Editing, Creative Writing, Marketing, Social Networking, Copywriting, Internal Communications, Blogging, Photoshop, WordPress, Technical Communication, User Experience, User Acceptance Testing, E-commerce
Education
New York University 1975 — 1977
BFA, Film & TV
davidshapiro.net, Inc. July 1995 - Present
Deutsche Bank August 2000 - July 2002
Lieber Levett Koenig Farese Babcock Inc January 1999 - August 2000
OgilvyOne January 1998 - December 1998
Think New Ideas, Inc January 1997 - January 1998
Think Smart Home Tutoring, Inc January 1994 - January 1997
Smith Barney, Inc January 1993 - January 1994
Variety of companies January 1990 - January 1993
Skills
Marketing Strategy, Databases, Real Estate, Event Planning, Event Management, Business Planning, New Business Development, Email Marketing, Account Management, Marketing, Business Development, Google Adwords, Google Analytics, SEO, SEM, Online Marketing, Google Webmaster Tools, Management Consulting, Web Design, Social Networking, Event Marketing, Sales Management, Direct Marketing, Social Media Marketing, Business Strategy, Entrepreneurship, Management, Networking, Social Media, E-commerce, Advertising, Facebook, Public Relations, Strategy, CRM, Leadership, Training, Online Advertising, Digital Media, Digital Marketing, Sales, PPC, Lead Generation, Strategic Partnerships, Market Research, Brand Development, Integrated Marketing, Digital Strategy, Project Management, Start-ups
Education
Cornell University 1989 — 1993
B.A, Applied Economics and Business Management Concentrations; Law, 3.8
East Islip High School
East Islip High School
San Diego Unified School District January 2009 - Present
Poway Unified School District August 2007 - June 2008
Data Systems and Solutions, a joint venture of SAIC and Rolls-Royce August 2001 - April 2003
UUNET August 1999 - May 2000
Netrix Corporation September 1998 - April 1999
Federal Reserve Board February 1998 - September 1998
Kinetic Concepts August 1996 - June 1997
Smith Barney Inc. June 1994 - May 1996
Skills
Curriculum Design, Teaching, Public Speaking, Curriculum Development, Instructional Design, Piano, Educational Leadership, Music Education, Higher Education, Staff Development, Community Outreach, Research, Educational Technology, Tutoring, Classroom
Education
San Diego State University-California State University 2003 — 2006
Master's degree, Music Performance, General
University of California, Los Angeles 1990 — 1992
Master's degree, Education
University of California, Los Angeles 1986 — 1991
Bachelor's degree, Applied Mathematics with Specialization in Computing
OCP Capital LLC (formerly Ounavarra) November 2012 - Present
EIM Management USA Inc July 2009 - September 2011
Muirfield Capital Management – US Hedge Fund of Funds November 2007 - June 2009
Medley Global Advisors – Institutional Policy & Research Firm February 2006 - October 2006
Smith Barney Inc August 2000 - January 2006
Prudential Securities Inc June 1995 - August 2000
Shearson American Express Inc December 1981 - June 1995
Skills
Investment Management, Capital Markets, Investments, Mutual Funds, Derivatives, Institutional..., Pension Funds, Funding, Institutional, Retirement, Fund Of Funds, FINRA, Asset Allocation, Investment Strategies, Private Equity, Portfolio Management, Financial Markets, Series 63, Investor Relations, Bloomberg
Education
Montclair State University 1977 — 1981
Marketing & Humanities
Risk Assistance Network + Exchange (RANE) May 2014 - Present
Risk Assistance Network + Exchange (RANE) 2014 - 2015
RBC Capital Markets December 2010 - November 2013
RBS Greenwich Capital April 2009 - October 2010
RBS Greenwich Capital 2006 - 2009
Deutsche Bank 2003 - 2006
JP Morgan 1999 - 2003
Bear, Stearns & Co. 1996 - 1999
Smith Barney, Inc. 1993 - 1996
Credit Suisse 1990 - 1991
Skills
Strategy, Leveraged Finance, Investment Banking, Capital Markets, Fixed Income, Investments, Management, M&A experience, Equities, Mergers & Acquisitions, Corporate Finance, Private Equity, IPO, Finance, Due Diligence
Education
University of Michigan - Stephen M. Ross School of Business 1991 — 1993
M.B.A., Emphasis in Finance and Accounting
Trinity College-Hartford 1983 — 1987
B.A., Economics
Tabor Academy
Strategic Sovereign Advisors LLC May 2015 - Present
Business Council for International Understanding (BCIU) April 2014 - Present
HSBC Securities August 2013 - April 2015
HSBC August 2011 - August 2013
HSBC 1996 - September 2011
HSBC 1996 - September 2011
Smith Barney, Inc January 1994 - January 1996
Swiss Bank Corporation January 1991 - January 1994
First Boston Corporation January 1984 - January 1991
Bankers Trust 1991 - 1991
Skills
Capital Markets, Fixed Income, Investment Banking, Financial Markets, Derivatives, Corporate Finance, Risk Management, Investments, Banking, Trading, Securitization, Financial Risk, Credit, Cash Management, Funding, Loans, Strategic Planning, Leveraged Finance, Management, Leadership, Currency, New Business Development, Hedge Funds, Asset Management, Treasury Management, FX Options, Bonds, Finance, Financial Institutions, Hedging, Project Finance, Treasury, Trade Finance, Relationship Management, Operational Risk, Investment Management, Commercial Banking, Strategic Financial..., Structured Products, Emerging Markets, Portfolio Management, Structured Finance, Strategy, Financial Services, Mergers
Education
University of Michigan - Stephen M. Ross School of Business 1980 — 1981
MBA, International Finance
University of Michigan 1974 — 1977
BA, Psychology
View The Space May 2013 - Present
leave the castle, LLC September 2007 - Present
The Bookkeeping Company April 2012 - April 2013
The Bookkeeping Company of New York City January 2012 - April 2012
U.S. Balloon Co. January 2011 - March 2012
U.S. Balloon Co. August 1995 - December 2009
Performance of a Lifetime June 2004 - August 2005
Smith Barney, Inc. 1993 - 1994
Bristol-Myers Squibb Co. 1991 - 1993
Nissho Iwai American Corp. 1990 - 1991
Skills
Documentation, Marketing Management, Yoga, Bookkeeping, Purchasing, Coaching, Teaching, Customer Presentations, Software Documentation, QuickBooks, Accounts Payable
Education
The Bookkeeping Center 2011 — 2011
Yoga to the People 2010 — 2010
200-Hour Certification, Yoga
Adelphi University 1988 — 1988
BA, Psychology
State University of New York at Albany 1983 — 1986
BA, English Literature, Philosophy
R. Seelaus & Co., Inc. June 2013 - March 2014
Bell Audi February 2013 - June 2013
Larry Hipschman Voiceovers 2011 - 2013
Citi 2008 - 2011
Citigroup 1998 - 2008
Smith Barney Inc 1997 - 1998
Smith Barney Inc 1992 - 1997
Vantage Financial Services, Inc 1990 - 1992
Prudential Securities, Inc 1985 - 1990
Education
Rutgers, The State University of New Jersey-New Brunswick
BA, Economics / English
Wells Fargo Advisors May 2008 - Present
Smith Barney Inc January 1994 - May 2008
Education
Florida State University - College of Business 1968 — 1972
Bachelor of Science (B.S.), Finance, General
Citi - Private Bank November 2013 - Present
Citi February 1998 - Present
Salomon Smith Barney August 1997 - February 1998
Smith Barney Inc. September 1991 - August 1997
Skills
Key Account Relations, Leveraging Strategic..., Structured Products, Leveraged Finance, Leadership, Equity Trading, Capital Markets, Equities, Financial Markets, Fixed Income, Mergers, Trading, Hedge Funds, Derivatives, Risk Management, Bloomberg, Investments, Securities
Education
Denison University 1987 — 1991
Bachelor of Arts (B.A.), Political Science and Government
Oxford University
Semester Abroad- Michaelmas Term, Political Economy
Broad Street Capital Advisors, LLC April 2006 - Present
Wealth Management Group January 1997 - April 2006
Smith Barney Inc 1984 - 1997
Smith Barney 1984 - 1995
Skills
Asset Allocation, Financial Advisory, Investment Banking, Retirement, Series 7, Mutual Funds, 401k, Management Consulting, Series 63, Alternative Investments, Executive Management, Investment Advisory, Wealth Management, Retirement Planning, Investments, Securities, Asset Management
Education
The University of Georgia 1974 — 1978
Economics
Stratos Wealth Partners July 2009 - Present
Smith Barney Inc. September 1994 - July 2009
Education
Denison University 1988 — 1992
Bachelor of Arts, Economics
Signal Hill Capital August 2010 - Present
Updata Advisors (merged with Signal Hill) December 2005 - July 2010
Wachovia Securities October 2000 - November 2005
Thomas Weisel Partners January 1999 - October 2000
Montgomery Securities/NationsBanc Montgomery August 1996 - January 1999
Smith Barney Inc. July 1994 - July 1996
Morgan Stanley & Co. August 1990 - July 1992
Morgan Grenfell July 1989 - July 1990
Skills
Mergers & Acquisitions, Capital Raises, Enterprise Software, SaaS, Investment Banking, Venture Capital, Banking, Private Equity, Corporate Finance, Finance, Investments, Mergers, Private Placements, Strategy, Valuation, Capital Raising, Growth Capital, Financial Advisory, Series 7, Buyouts, Recapitalizations, IPO, Corporate Development, Equities
Education
Northwestern University - Kellogg School of Management 1992 — 1994
MBA, Finance & Management Strategy
Yale University 1985 — 1989
BA, Economics & Political Science
Penn Trafford HS 1981 — 1985
Wesley Mar, Retirement Planning for Sacramento Small Businesses October 2006 - Present
LPL Financial October 2006 - Present
Wachovia Securities, LLC February 1998 - October 2006
Smith Barney, Inc. March 1993 - February 1998
Education
California State University-Sacramento 1975 — 1979
Bachelor of Science, Business Administration:Accounting
Fidelity Investments June 2014 - Present
Graystone Consulting October 2011 - May 2014
Morgan Stanley Smith BarneyConsulting Group December 2001 - September 2009
Smith Barney Inc December 1999 - December 2001
Salomon Smith Barney Inc March 1997 - December 1999
Savings of America July 1995 - March 1997
SWBC 1992 - 1995
Fidelity Pension Services 1990 - 1992
Skills
Series 7, Mutual Funds, Asset Allocation, Wealth Management, Alternative Investments, Investments, Retirement Planning, Asset Managment, 401k, Investment Advisory, Financial Advisory, Series 65, Separately Managed..., Retirement, Fixed Annuities, ETFs, FINRA, Series 63, Asset Management
Education
Stephen F. Austin State University 1986 — 1990
Bachelor of Business Administration
Eisenhower 1982 — 1985
Rhode Island July 2011 - July 2014
Construction Testing & Engineering, Inc. May 2009 - February 2011
Volunteer Work May 2008 - May 2009
URS-Bovis Lend Lease Joint Venture October 2007 - March 2009
Creative Interconnect, Inc January 1999 - February 2007
San Mateo County Economic Development Association (SAMCEDA) September 1996 - June 1998
Smith Barney, Inc March 1989 - June 1996
Skills
Management, Project Management, Leadership, Visio, Administrative..., Event Management, Microsoft Excel, SharePoint, Customer Service, Outlook, Public Speaking, Time Management, Human Resources, Construction, Newsletters, PowerPoint, Press Releases, Interviews, Accounts Payable, Negotiation, Snacks
Education
College of San Mateo 1971 — 1981
Nursing, Physical Education, Interior Design
LFR-OH Properties LLC March 2012 - Present
Dexter Research Institute- DRI July 2009 - Present
Foliage Properties LLC March 2005 - Present
Commercial & Residential Mortgage Brokerage April 1997 - Present
KNOX FINANCIAL SERVICES April 1997 - Present
Consulting Services April 1997 - Present
Acquisition Capital Group Inc 2011 - 2011
SMITH BARNEY, INC January 1994 - January 1996
HAMILTON MORTGAGE COMPANY January 1992 - January 1994
TAXCO, INC January 1984 - February 1989
Skills
Real Estate, Investors, Management, Selling, Marketing, Loans, Sales, Investments, Small Business, Venture Capital
Education
Tulane University 1977 — 1978
Economics
New England College
Economics
Quinsigamond Community College
Humanities
Strategy & Corporate Development Consulting 2008 - Present
Banc of America Securities LLC 2006 - 2008
Citigroup 1993 - 2005
Salomon Smith Barney 1998 - 2000
Smith Barney Inc. 1994 - 1997
Smith Barney, Harris, Upham & Co. 1993 - 1993
Midland Bank PLC 1991 - 1992
Bankers Trust Company 1989 - 1991
Skills
Mergers, Corporate Development, Financial Analysis, Divestitures, LBO, Business Strategy, Finance, Strategic Planning, Financial Structuring, Negotiation, Project Management, Capital Raising, Resource Management, Investment Banking, Corporate Finance, Valuation, Financial Modeling, Due Diligence, Venture Capital, Restructuring, M&A experience, Strategy, Business Planning, Strategic Partnerships, Acquisitions, Business Development, Strategic Financial..., Competitive Analysis, Business Valuation, Mergers & Acquisitions, Portfolio Management, Private Equity, Financial Services, Structured Finance, Leveraged Finance, Equities, Investments, Capital Markets, Banking, CRM, Emerging Markets, Leadership, Management, Executive Management, Joint Ventures, Analysis, Capital
Education
New York University - Leonard N. Stern School of Business 1992 — 1994
M.B.A., Double Major - Finance & Marketing, Concentration - International Business
Syracuse University 1985 — 1989
B.S., Double Major - Accounting & Finance
Weston High School 1981 — 1985
Phillips Exeter Academy 1984 — 1984
Alduino Consulting Services Inc. 1989 - Present
Town of Yorktown (NY) Conservation Board 2009 - Present
Starwood Hotels & Resorts Worldwide, Inc. May 2006 - November 2006
Morgan Stanley July 2002 - April 2006
Morgan Stanley Dean Witter & Company May 1997 - April 2001
Deutsche Morgan Grenfell Inc. December 1995 - April 1997
Smith Barney Inc. July 1995 - November 1995
Phibro Division of Salomon Inc. February 1995 - June 1995
Goldman Sachs & Company August 1993 - January 1995
Morgan Stanley & Company July 1992 - July 1993
Skills
Unix, Oracle, Perl, XML, Databases, Start-ups, Program Management, Java, Web Services, Business Analysis, Management, Integration, Enterprise Software, Distributed Systems
Education
Rensselaer Polytechnic Institute
Master of Engineering, Computer and Systems Engineering
University of Florida
B.S. Engineering, Computer and Information Sciences
21st Century Dads Foundation March 2015 - Present
Credit Suisse Private Banking USA February 2008 - Present
FINRA April 2007 - Present
Union League Club of Chicago 2004 - Present
Illinois Fatherhood Initiative 1997 - Present
Smith Barney, Inc January 1985 - February 2008
W.K. Kellogg Foundation National Fellows Program 1993 - 1996
Price Waterhouse July 1982 - January 1985
Skills
Foundations, Endowments, Non-profits, Investments, Wealth Management, Fundraising, Strategic Planning, Investment Advisory, Strategic Financial..., Leadership, Nonprofits, High Net Worth..., Financial Analysis, Financial Advisory, Philanthropy, Wealth Management..., Entrepreneurship, Budgets, Mergers & Acquisitions, Asset Management, Portfolio Management, Start-ups, Executive Management, Estate Planning, Securities, Business Planning, Strategy, Finance, Business Strategy, Private Equity, Small Business, Marketing, Business Development, Risk Management, Due Diligence, Management Consulting, Financial Modeling, Financial Services, Venture Capital, Investment Management, Consulting, Alternative Investments, Corporate Finance, Strategic Partnerships, Valuation, Competitive Analysis, Equities, Corporate Development, Banking, Investment Banking
Education
Northwestern University - Kellogg School of Management 1995 — 2001
MBA, Marketing
University of Illinois at Urbana-Champaign - College of Business 1978 — 1982
Bachelor of Science, Accounting
The University of Chicago 2008 — 2008
CPWA, IMCA - Certified Private Wealth Advisor
University of Pennsylvania - The Wharton School 2001 — 2001
CIMA, IMCA - Certified Investment Management Associate
Philips HealthTech June 2015 - Present
Emergency Medical Associates (EMA)/ divison of EmCare September 2012 - Present
Pfizer, Inc September 2007 - April 2009
Pfizer, Inc October 2001 - September 2007
Pfizer, Inc 1996 - 2001
Smith Barney, Inc. 1994 - 1996
Pfizer, Inc 1991 - 1994
University of Medicine and Dentistry of NJ 1986 - 1992
Skills
Sales Operations, Healthcare, Pharmaceuticals, Business Strategy, Team Leadership, Direct Sales, Technology..., Mobile Communications, Emergency Medical..., Emergency Medicine, Physician Assistants, Pharmaceutical Industry, Training, Healthcare Management, Project Management, Surgery, Pediatrics, Emergency Medical, Leadership, Medicine, Managed Care, Clinical Research, Hospitals, Internal Medicine
Education
DeSales University 2010 — 2012
Master of Science, Physician Assistant Studies, Physician Assistant
University of Phoenix 2000 — 2003
MBA, Technology Management
Rutgers, The State University of New Jersey-Newark 1987 — 1991
BS, Management
The Williamsport Hospital Paramedic Training Institute 1984 — 1985
EMT Paramedic certification, Emergency Medical Technology/Technician (EMT Paramedic)
EDGE Edtech 2015 - Present
Techstars. 2014 - 2015
Socratic Labs 2012 - 2013
Georgetown University's McDonough School of Business August 2010 - May 2012
Global Career Conference and Expo 2011 - 2012
Move My Menu 2010 - 2011
Corporate Executive Board October 2008 - July 2010
Corporate Executive Board October 2006 - September 2008
Corporate Executive Board September 2005 - September 2006
Smith Barney, Inc. May 2004 - July 2004
Skills
Strategy, Entrepreneurship, Strategic Planning, Business Strategy, Strategic Partnerships, Competitive Analysis, Project Management, Marketing Strategy, Public Speaking, Market Research, Business Planning, Management, Business Development, Due Diligence, Product Development, Venture Capital, Early-stage Startups, Budgets, Management Consulting, International Business, IT Strategy, Presentation Development, Education, Marketing, Financial Modeling, Research, Training, Sales, Educational Technology, Incubation, English, Leadership
Education
Georgetown University - The McDonough School of Business
MBA, International Business and Entrepreneurship
Grinnell College
BA, Economics, Psychology (Double Major)
Colombo International School
GCE Advanced Levels, Maths, Physics, Economics
Royal College
GCE Ordinary Levels
Chesley, Taft & Associates 2012 - Present
Lodestar Investment Counsel, LLC February 2000 - March 2012
Smith Barney Inc. January 1994 - January 2000
Smith Barney Shearson January 1993 - January 1994
Shearson Lehman Brothers September 1992 - January 1993
Skills
Portfolio Management, Asset Allocation, Equities, Fixed Income, Investment Management, Investment Strategies, Asset Management, Investments
Education
University of Washington, Michael G. Foster School of Business 1984 — 1986
Master of Business Administration (M.B.A.), Finance, Marketing
University of California, Los Angeles 1976 — 1981
Bachelor's degree, Geography/Eco-Systems
Quality Growth Consulting August 2011 - Present
Owner & Managing Partner -- Various March 2004 - July 2011
Smith Barney Inc September 1994 - October 2003
Kidder, Peabody & Co., Inc July 1990 - August 1994
Skills
401k, Alternative Investments, Asset Allocation, Asset Managment, Banking, Capital Markets, Derivatives, Due Diligence, ETFs, Equities, Estate Planning, Finance, Financial Advisory, Financial Modeling, Financial Planners, Financial Services
Education
Fordham University - Graduate School of Business Administration 1987 — 1989
MBA, Finance
Penn State University 1979 — 1983
BS, Finance
The Schamber Group, Inc. 2010 - Present
Smith Barney, Inc. April 2000 - December 2005
Skills
Strategic Financial..., Financial Advisory, Investments, Pensions, Securities, Group Retirement Plans, Comprehensive Financial..., Finance, FINRA, Retirement Planning, Personal Development, Wealth Management, Fixed Annuities, Estate Planning, Mutual Funds, Asset Management, Portfolio Management, Investment Advisory, Life Insurance, Series 7
Education
Purdue University 1992 — 1999
Doctor of Philosophy (PhD), Population Genetics
Purdue University 1985 — 1992
Master's degree, Biology Education
Purdue University 1981 — 1985
Bachelor of Science, Horticultural Business
Franklin Street Partners April 2013 - Present
Indepth Research Corp. December 2012 - Present
RS Investments September 2010 - December 2012
Oak Value Capital Management, Inc. December 2003 - September 2010
Coker, Palmer, Phillips Investment Securities, Inc. September 1998 - November 2003
Smith Barney, Inc. July 1993 - March 1998
Lehman Brothers July 1987 - July 1993
Skills
Strategic Planning, Global Investment..., Investment Management, Portfolio Management, Asset Managment, Equity Research, Research, Investments, Alternative Investments, Mutual Funds, Hedge Funds, Investment Banking, Private Equity, Venture Capital, Joint Ventures, Team Building, Marketing, Valuation, Investment Strategies, Equities, Asset Allocation, Value Investing, Wealth Management, Financial Modeling, Institutional..., Fund Of Funds, Stock Picking, Start-ups, Investment Research, Strategic Financial..., Financial Analysis, Quantitative Analytics, Business Valuation, Mergers, Corporate Finance, IPO, Equity Valuation, Strategy, Due Diligence, Asset Management, Securities, Financial Markets, Fundamental Analysis, Institutional, Investment Advisory, DCF
Education
University of Tennessee-Knoxville 1983 — 1986
Bachelor of Science (BS), Finance, Economics
University of North Carolina at Chapel Hill 1982 — 1983
Better Cost Control May 2013 - Present
SEP Connect 2012 - May 2013
DMF Energy Group, Inc. December 2008 - January 2011
Maxim Advisory LLC and Maxim Group LLC October 2001 - October 2008
vFinance July 2000 - October 2001
Gruntal & Company, LLC September 1995 - July 2000
Smith Barney, Inc. September 1992 - September 1995
Prundential Securities, Inc. May 1989 - September 1992
Vanguard Brokerage September 1986 - May 1989
The United States Army June 1975 - July 1978
Skills
Communications/Presentat..., New Business Development, Strategic Thinker, Solid Organizational..., Sales promotions/Sales..., Marketing Strategies, Collaborative..., Implementation and..., Motivational Team Leader, Proficient in the Art..., Creative problem Solver, Sales, Marketing Strategy, Strategic Thinking, Campaigns, Creative Solutions, Art, Motivation, Business Development, Start-ups, Business Strategy, Digital Marketing, Investments, Management, Risk Management, Entrepreneurship, Asset Managment, Negotiation, Marketing, Asset Management, Strategy, Web Marketing, Online Advertising, Salesforce.com, PPC, Direct Sales, Business Planning, Leadership, Portfolio Management, CRM, Analysis, Consulting, SEO, Sales Presentations, Management Consulting, Account Management, Small Business, Direct Marketing, Cold Calling, Strategic Planning
Education
George Mason University
Economics
United States Military Academy Prep School, West Point, New York
Town of East Hampton Zoning Board of Appeals January 2011 - Present
Municipal Disclosure Advisors July 2006 - Present
Dexia Credit Local January 2004 - July 2006
Radian Asset Assurance Inc July 2002 - July 2004
Smith Barney, Inc January 1995 - January 2002
Private Sector January 1986 - January 1995
Director January 1982 - January 1986
Skills
Bonds, Credit Risk, Municipal, Credit, Risk, Risk Management, Credit Analysis, Fixed Income, Financial Advisory, Asset Management, Municipalities, Financial Risk, Valuation, Portfolio Management, Investments, Analysis, Capital Markets, Structured Finance, Securities, Management, Investment Banking, Equities, Financial Structuring, Derivatives, Hedge Funds, Structured Products, Alternative Investments, Securitization, Bloomberg, Trading, Financial Modeling, Mutual Funds, Series 7, Due Diligence, Financial Services, Finance, Credit Derivatives, Project Finance, Emerging Markets, Private Equity, Financial Markets, Series 63, Loans, Corporate Finance, Banking, Investment Management, Funding, Restructuring, Financial Analysis, Insurance
Education
Hunter College 1973 — 1974
M.S., Urban Affairs
Hunter College of the City University of New York
M.S, Urban Affairs
Queens College of the City University of New York
B.S, Political Science
JPMorgan Chase & Co. April 2010 - Present
Stanford Financial Group -Foundation August 2004 - February 2009
Stanford Group Company August 2004 - April 2007
Smith Barney Inc April 1996 - August 2004
Education
Art Institute of Houston 1984 — 1985
Associates, Fashion Merchandising
McDermott Will & Emery April 2003 - Present
UBS PaineWebber, Inc April 2000 - July 2002
Strategic Research Institute September 1997 - March 2000
IMN/Fabozzi March 1997 - September 1997
The Ritz-Carlton October 1996 - January 1997
Cellular Telecommunications Industry Association June 1995 - October 1996
Lohan Associates, Inc October 1994 - May 1995
Smith Barney, Inc October 1992 - September 1994
Skills
Event Planning, Leadership, Marketing, Training, Program Management, Sponsorship, Budgets, Contract Negotiation, Webcasting, Business Relationship..., Event Management, Production Planning, Marketing Communications, Sales, Trade Shows, Marketing Strategy, Management, Strategic Planning
Education
Central Michigan University
Bachelor of Science, Psychology
Wells Fargo Advisors, LLC October 2007 - Present
Smith Barney, Inc. December 1987 - October 2007
Skills
Investments, Finance, High Net Worth..., Retirement Planning, Financial Advisory, Alternative Investments, Financial Services, Investment Strategies, Securities, Financial Analysis, Retirement, Equities, Asset Allocation, Mutual Funds, Fixed Income
Education
Oregon State University 1974 — 1979
Master of Business Administration (MBA), Business Administration and Management, General
SAY Media August 2012 - Present
Bloomspot.com April 2011 - July 2012
L2 Wireless February 2009 - April 2011
The LPS Group 2007 - 2008
Central Payment Corp June 2006 - November 2006
Digital Exposure Inc. September 2005 - November 2006
Bargain Network March 2003 - August 2005
Smith Barney Inc January 2001 - January 2003
Voquette Inc January 1999 - January 2001
Skills
inside sales, Contract Negotiation, Closing Deals, Pitches, Cold Calling, New Business Development, B2B, Customer Service, Account Management, Sales Presentations, Business Development, Deal Closure, Negotiation, Sales, Sales Management, Sales Operations, Email Marketing, Sales Process, Direct Sales, Marketing, Salesforce.com, Training, Management, CRM, Lead Generation, Social Media, Advertising, Digital Media, Online Marketing, SEM, Digital Marketing, Mobile Marketing, Marketing Strategy, Strategic Partnerships, Customer Acquisition, Direct Marketing, PPC, Online Advertising, Social Media Marketing, Start-ups, Networking, SaaS, Advertising Sales, Mobile Advertising, Mobile Devices, E-commerce, Social Networking, Digital Strategy, Web Analytics, Analytics
Education
San Francisco State University 2010 — 2013
Business Administration, marketing emphasis
Gilman Hill Asset Management August 2007 - Present
Wesport Capital Markets, LLC November 1996 - August 2007
Smith Barney, Inc. November 1983 - November 1996
Education
Fordham University - Graduate School of Business Administration 1986 — 1988
MBA, Finance
Williams College 1975 — 1979
BA, Economics
Clayton Financial Group, LLC August 2015 - Present
Moneta Group December 2012 - Present
Moneta Group December 2012 - July 2015
Smith Barney Inc. 1993 - 2001
Education
MacMurray College 1989 — 1993
Bachelor of Science (B.S.), Business Administration
RBC Wealth Management June 2013 - Present
Fidelity Investments May 2010 - May 2013
UBS Financial Services, Inc. March 2008 - June 2009
CyberTrader, Inc./Charles Schwab & Co., Inc. October 2005 - March 2008
CyberTrader, Inc./Charles Schwab & Co., Inc. February 2002 - October 2005
CyberTrader, Inc./Charles Schwab & Co., Inc. February 2000 - February 2002
Smith Barney, Inc. July 1998 - January 2000
Smith Barney, Inc. May 1994 - July 1998
Stiefel Nicholaus, Inc. 1993 - 1994
Rauscher, Pierce, Refsnes & Co., Inc. 1992 - 1993
Education
Texas A&M University-Kingsville 1988 — 1989
BS, Elementary Education - English Major / Math Minor
University of Michigan-Flint 1986 — 1988
Education
Texas A&M University-Kingsville 1983 — 1986
Accounting, Math
FINRA Licenses: Series 3, 7, 9, 10, 24, 55, 63, 66
Sequoia Private Wealth Management, LLC January 2015 - Present
Fidelity Investments September 1996 - January 2015
Smith Barney Inc October 1994 - September 1996
Skills
Asset Allocation, Investment Portfolio, Client Services, Financial Planning, Finance, Portfolio Management, Retirement, Wealth, Retirement Planning, Investment Advisory, Investments, Mutual Funds, Wealth Management, Series 63, Asset Management, Financial Services
Education
University of North Texas 1990 — 1995
Bachelor's degree, Corporate Finance
AllianceBernstein September 2007 - Present
Merrill Lynch October 2002 - September 2007
Citigroup Asset Management June 1997 - October 2002
Travelers Group Inc. (predecessor to Citigroup Inc.) November 1994 - June 1997
Smith Barney Inc. June 1988 - October 1994
Skills
High-Level Relationship..., Product Management, Education Savings..., Advocacy, Public Speaking, Writing, Marketing Communications, Advertising, Negotiation, Corporate Law, Government Relations, Media Relations, Asset Management, Financial Services, Strategic Planning, Investment Advisers Act, Fundraising, Banking Law, FCPA, Political Contributions..., Section 16, Board Relations, M &A, Legal Compliance, Securities, Reiki, Mergers & Acquisitions
Education
Brooklyn Law School 1990 — 1994
Doctor of Law (J.D.)
Duquesne University
B.A., Philosophy and Political Science
NYU School of Professional Studies
TIAA-CREF February 2014 - Present
Avondale Investment Management March 2013 - December 2013
Strategic Wealth Planning April 2011 - March 2013
Citi Personal Wealth Management June 2010 - April 2011
Clark Consulting April 2001 - November 2009
P.I.B. Group, Inc., April 2000 - March 2001
Rushmore Investment Advisors November 1998 - March 2000
Smith Barney, Inc. May 1998 - November 1998
Charles Schwab March 1990 - July 1997
Skills
Manage Client..., Wealth Management, Mutual Funds, Portfolio Management, Retirement Planning, Asset Allocation, Strategic Financial..., Operations Management, Team Management, Team Leadership, Compensation & Benefits..., Investment Advisory, Asset Management, Risk Management, Strategy, Investment Management, Investments, Defined Benefit, Financial Services, Financial Analysis
Education
University of Pennsylvania - The Wharton School 2008 — 2009
CIMA® Designation Program
University of North Texas 2005 — 2006
CFP® Board-Registered Program
University of San Francisco 1987 — 1989
BSBA
Loyola University of Chicago 1986 — 1987
Foreign Studies Program
BNY Mellon December 2014 - Present
BNP Paribas October 2008 - 2010
Lehman Brothers Inc February 2001 - September 2008
Smith Barney Inc September 1994 - January 2001
Skills
Customer Service, Microsoft Office, Leadership, Microsoft Word, Public Speaking, Team Building, Research, Analysis, Finance, Process Improvement, Business Analysis, Project Management, Sales, Tax, Financial Services, Investments, Securities, Consulting, Equities, PowerPoint, Marketing
Education
City University of New York-Hunter College 1981 — 1982
Kingsborough Community College 1977 — 1981
Associate's Degree, Liberal Arts
Wells Fargo Advisors January 2006 - Present
smith barney inc 1998 - January 2006
Morgan Stanley 1988 - 1998
Education
Northwestern University 1972 — 1974
Master of Business Administration (M.B.A.), finance and marketing
MassMutual Financial Group September 2013 - Present
Keller Williams Pioneer Valley Realty October 2012 - Present
MassMutual Financial Group 2007 - May 2014
MassMutual January 2007 - September 2013
TDBank Investment Group March 2005 - December 2006
Smith Barney June 2004 - March 2006
Smith Barney, Inc. June 1992 - June 2001
Skills
Investments, Retirement, 401k, Retirement Planning, Management, Employee Benefits, Finance, Time Management, Fixed Annuities, Insurance, Mutual Funds, Life Insurance, Series 6, Financial Advisory, Series 7
Education
Western New England College 2003 — 2011
Bachelors of Science in Business/Management Minor, Graduated Cum Laude
Holyoke Community College 1977 — 1980
Associates, Executive Secretarial
Wedbush Securities Inc. April 2005 - Present
Smith Barney Inc. February 1994 - April 2005
Skills
Series 7, Securities, Financial Analysis, Customer Service, Investments, Equities, Management, Wealth Management, Risk Management, Series 63, Banking, Team Building, Sales, Finance, Microsoft Office, Outlook, PowerPoint, Microsoft Word, Strategic Financial..., Fixed Income, Strategic Planning, Microsoft Excel, Financial Modeling
Education
California State University-Chico 1985 — 1990
Craigmont
Janney Montgomery Scott January 2011 - Present
Savant Capital Management November 2009 - December 2010
Smith Barney, Inc July 2008 - July 2009
Smith Barney, Inc. September 2003 - July 2008
Smith Barney, Inc. June 1999 - September 2003
Smith Barney, Inc. June 1996 - June 1999
Smith Barney - Sears Tower Office December 1992 - June 1996
Smith Barney - Sears Tower Office December 1992 - June 1994
Merrill Lynch - Merchandise Mart Office June 1990 - December 1992
US Navy May 1986 - June 1990
Skills
Alternative Investments, Financial Planning, Mutual Funds, Retirement, Bonds, stocks, Municipal, Philanthropy, Venture Finance, Asset Management, Asset Allocation, Tactical Asset..., Asset Protection, Financial Management, Financial Markets, Financial Advisory, Financial Modeling, Risk Management, Market Risk, Risk Analysis, Risk, Annuities, passive investing, Retirement Planning, Retirement Income..., Retirement Savings, Retirement Plan..., Strategic Financial..., Investments, Investment Advisory, Fixed Income, Equities, Series 7, Financial Services, Fixed Annuities, Series 24, FINRA, Wealth Management, Series 63, Leadership, Securities, Portfolio Management, Financial Analysis, Finance, ETFs, Insurance, Investment Management, Mergers & Acquisitions, 401k, Estate Planning
Education
University of Notre Dame 1982 — 1986
B.BA, Accounting
The Toro Company October 2014 - Present
Korn Ferry International February 2010 - October 2014
Benilde-St. Margaret's School September 2009 - November 2009
Mercer Health & Benefits February 2007 - May 2009
Smith Barney, Inc October 1992 - October 1995
Smith Barney, Inc June 1990 - October 1992
Wachovia Securities, LLC December 1988 - May 1990
Skills
Organizational..., Organizational..., Interviews, Employee Relations, Employee Benefits, Customer Service, Marketing, Personnel Management, Benefits Administration, New Business Development, Employee Training, Workforce Planning, Microsoft Office, Microsoft Excel, Team Building, Training, Leadership
Education
DePaul University
Finance/Marketing
Texas Treasury Safekeeping Trust Company November 2010 - Present
Crestline Investors, Inc. April 2010 - July 2010
Austin Capital Management August 2007 - March 2009
Citigroup January 2005 - July 2007
Bear Stearns October 2001 - October 2003
Salomon Smith Barney September 1998 - October 2001
Lehman Brothers November 1996 - July 1998
Smith Barney, Inc. August 1992 - June 1996
Lehman Brothers November 1990 - August 1992
Skills
Operational Due..., Operational Risk, Hedge Funds, Private Equity, Real Estate, Fund Linked Derivatives, CPPI, Portable Alpha, Structured Credit..., ISDA negotiations, Total Return Swaps, Credit Derivatives, Interest Rate Swaps, Swaptions, Fund Of Funds, Fixed Income, Structured Products, Middle Office, Alternative Investments, Operational Risk..., Investment Banking, Asset Management, Portfolio Management
Education
St. Mary's University 1985 — 1990
Bachelor of Business Administration (BBA), International Business
Enhancement Systems Central Vacuum Installations December 2013 - Present
Guardian Power Cleaning, Inc. December 2009 - December 2013
Hanemann Trading July 2000 - May 2009
Rudolph Wolf January 1995 - January 2000
Smith Barney, Inc January 1993 - January 1995
Shearson Lehman Hutton, Inc July 1988 - January 1993
Lehman Brothers, Inc July 1988 - January 1993
Pathmark Supermarket January 1984 - July 1988
Skills
Commodities, Trading, Customer Service, Commodity, Inventory Management, Technical Analysis, Options, Bloomberg, Trading Systems, Financial Markets, Proprietary Trading, Hedging, Commodity Markets, Swaps, Electronic Trading
Education
Smith & Solomon Commercial Driver Training 2014 — 2014
Received Comercial Drivers License- Class B License
Middlesex County College 1986 — 1988
Associates Degree, Business Management
Mystery and Imagination: The Magic of Jerry Sperling April 1970 - Present
UBS Financial Services, Inc. March 1998 - April 2008
Smith Barney, Inc. July 1994 - March 1998
Dean Witter Reynolds, Inc. October 1983 - July 1994
Preferred Benefit Services, Inc. July 1982 - September 1983
Education
University of Maryland College Park 1977 — 1982
Bachelor of Science in Journalism and Photojournalism, fields of study included Economics, Business, Astronomy, and Anthropology
LoanMart August 2014 - Present
Santander Consumer USA Inc. February 2014 - August 2014
CoreLogic July 2012 - December 2013
Hyundai Capital America February 2011 - July 2012
HSBC Bank Canada January 2009 - February 2011
HSBC, Auto Finance January 2006 - December 2009
HSBC, Auto Finance February 2003 - December 2005
LifeServ July 2001 - September 2001
Raymond James Financial Inc. May 1996 - August 2000
Smith Barney, Inc. May 1994 - May 1996
Skills
Strategy, Management, Portfolio Management, Financial Services, Risk Management, Analytics, Product Management, Banking, Leadership, Process Improvement, Financial Analysis, Business Strategy, Financial Modeling, SDLC, Program Management, Business Intelligence, Start-ups, Public Finance, Change Management, Financial Risk, CRM, Operations Management, Relationship Management, Finance, Strategic Planning, Project Management, Business Analysis, Vendor Management
Education
University of Chicago Graduate School of Business 2000 — 2002
MBA, Strategic Management, Finance, Accounting
Hamilton College 1990 — 1994
B.A., Mathematics
Houlihan Lokey August 2009 - Present
UBS Investment Bank April 2009 - June 2009
UBS Investment Bank 2003 - 2008
Credit Suisse First Boston October 2000 - July 2003
Donaldson, Lufkin & Jenrette November 1997 - October 2000
Smith Barney Inc. April 1995 - November 1997
Education
Bucknell University
BS
Horace Greeley High School
MLV February 2013 - Present
Virtu Financial February 2012 - February 2013
Morgan Joseph TriArtisan LLC January 2009 - February 2012
McMahan Securities / Argent Financial Group 2004 - 2009
BNY (Bank of New York) Securities Group 2002 - 2004
THE ISLAND ECN Inc 1999 - 2002
New York (Investment Bank) 1997 - 1999
SMITH BARNEY INC 1996 - 1997
Price Waterhouse 1995 - 1996
Firley, Morgan, Freer & Essa CPA Firm 1993 - 1995
Education
Seton Hall University 1987 — 1991
Bachelor of Science, Accounting
CBS Radio April 1998 - Present
CBS Radio / Events Guide January 2002 - 2007
CBS Radio December 2001 - September 2003
Smith Barney, Inc. August 1992 - April 1998
Dollar Bank September 1988 - July 1992
Education
Point Park University
B.A., Journalism / Mass Communications - Radio
THOR Industries, Inc. September 2013 - Present
Lambert-Edwards and Associates May 2008 - September 2013
CFA Society of West Michigan July 2012 - June 2013
Grand Valley State University August 2012 - January 2013
Coachmen Industries, Inc. May 2004 - April 2008
Delafield Hambrecht, Inc September 2002 - March 2004
Rainier Research, Inc January 2002 - July 2002
The Red Chip Review June 1999 - June 2001
Donaldson, Lufkin & Jenrette May 1995 - August 1997
Smith Barney, Inc. October 1993 - May 1995
Skills
Competitive Analysis, Strategic Analysis, Investor Relations, Investments, Public Relations, Corporate Communications, Strategic Communications, Investment Strategies, Financial Analysis, Financial Modeling, Equity Research, Investor Presentations, Business Valuation, Leadership, Mergers & Acquisitions, Budgets, Analysis, Equity Valuation, Finance
Education
Indiana University - Kelley School of Business 1997 — 1999
MBA, Finance
Bucknell University 1988 — 1992
BSBA, Accounting
Thornton Fractional North 1984 — 1988
Panoramic Capital October 2014 - Present
7x7 Asset Management February 2008 - December 2013
Pacific Growth Equities October 2002 - December 2007
Robertson Stephens 1998 - 2002
Pacific Telesis 1995 - 1996
Smith Barney Inc. 1993 - 1995
Skills
Financial Modeling, Investments, Hedge Funds, Equities, Equity Research, Valuation, Investment Banking
Education
Harvard Business School 1997 — 1998
MBA, Business
Yale University 1989 — 1993
BA, Economics
ASSENT LLC May 2007 - June 2009
TD AMERITRADE HOLDING INC April 2006 - May 2007
NEEDHAM AND COMPANY, LLC December 2005 - March 2006
GOLDMAN SACHS & COMPANY September 2005 - November 2005
JPMorgan Chase May 2005 - August 2005
Merrill Lynch November 2003 - September 2004
GEORGESON SHAREHOLDER COMMUNICATIONS September 2002 - November 2003
WALL STREET EQUITIES, INC March 1995 - September 2002
SMITH BARNEY, INC September 1994 - March 1995
L.C WEGARD & COMPANY April 1994 - May 1994
Education
City University of New York-Brooklyn College 1982 — 1984
Brooklyn College
BA, Economics
The Precision Group (Precision Industrial Maintenance, Precision Trenchless, and Martin Env. Svcs.). March 2015 - Present
Lemery Greisler LLC July 2002 - March 2015
Maynard, O'Connor, Smith & Catalinotto 2001 - 2002
Ainsworth Sullivan Tracy Knauf Warner & Ruslander 1999 - 2001
London Fisher 1997 - 1998
Smith Barney Inc. 1991 - 1996
Smith Barney Inc. (fka Shearson Lehman Bros.) 1991 - 1996
Skills
Appeals, Bankruptcy, Civil Litigation, Commercial Litigation, Corporate Law, Courts, Employment Law, Legal Research, Legal Writing, Litigation, Mediation, Strategic Planning, Estate Planning
Education
New York Law School 1993 — 1997
University at Albany, SUNY 1986 — 1990
BA, Psychology/Business
Oceanside Senior High School 1982 — 1986
S.A.P. January 2005 - Present
Sage Software October 2006 - September 2007
CAE USA, Inc. March 2003 - January 2005
Office Depot, Inc. January 1999 - December 2002
Racal Datacom, Inc. June 1996 - December 1998
Smith Barney, Inc. January 1994 - May 1996
Sony Corporation of America March 1990 - December 1993
Education
University of Phoenix 2002 — 2004
MBA, Business Management
Teikyo Post University 1986 — 1989
BS & AS, Accounting/Finance & Business Management
BROWN BROTHERS HARRIMAN & CO January 2008 - Present
Mutual Fund Services May 2006 - January 2008
Morgan Stanley December 2003 - May 2006
Morgan Stanley March 2001 - April 2006
Morgan Stanley March 2001 - December 2003
UBS June 1995 - March 2001
PaineWebber June 1995 - March 2001
SMITH BARNEY INC January 1994 - June 1995
PRUDENTIAL SECURITIES INC July 1991 - January 1994
Skills
Risk Management, Mutual Funds, Hedge Funds, Financial Services, Trading, Alternative Investments, Securities, Fixed Income, Financial Risk, Asset Management, Bloomberg, Equities, Account Reconciliation, Settlement, Derivatives, Back Office, Corporate Actions, Series 7, Capital Markets, Investments, Options, Series 63, Financial Markets, Wealth Management, Asset Allocation, Trading Systems, Portfolio Management, Operational Risk, Global Custody, AML, FINRA, Relationship Management, Investment Banking, Series 24, Investment Advisory
Education
Fordham University 1987 — 1991
ba, economics
Fordham University 1987 — 1991
Bachelor of Arts, Economics
Saint Peter's University
MBA
Lightower Fiber Networks August 2013 - Present
Lightower Fiber Networks (formerly Sidera Networks) September 2012 - August 2013
AboveNet Communications, Inc. May 2000 - July 2012
Deutsche Bank May 1999 - May 2000
Bankers Trust May 1995 - May 1999
Smith Barney Inc. October 1993 - May 1995
Skills
IP, Telecommunications, Internet Services, Contract Negotiation, Metro Ethernet, Cloud Computing, Strategic Partnerships, DWDM, Licensing, Litigation Management, Optical Fiber
Education
Boston College
Bachelor of Arts (BA), Mathematics and Computer Science
Fordham University School of Law
Doctor of Law (JD)
The GillonGroup Healthcare Consulting January 2010 - Present
Sheridan Healthcare, Inc. December 2007 - November 2009
Sound Physicians July 2003 - November 2007
MEDNAX December 1996 - June 2003
Smith Barney, Inc. May 1996 - December 1996
Dewey Ballantine LLP September 1993 - May 1996
Skills
Revenue Cycle, Mergers & Acquisitions, Healthcare Information..., Hospitals, Mergers, Managed Care, Healthcare, Healthcare Management, Business Analysis, Process Improvement, Strategic Planning, Healthcare Consulting
Education
Rutgers, The State University of New Jersey-Newark 1991 — 1993
Doctor of Law (J.D.)
College of the Holy Cross 1984 — 1988
A.B., Economics
Rose-Hulman Institute of Technology July 2015 - Present
Rose-Hulman Institute of Technology February 2012 - June 2015
Wilkinson, Goeller, Modesitt, Wilkinson & Drummy, LLP October 2009 - February 2012
Costello, Cooney & Fearon, P.L.L.C. May 2008 - August 2008
D.J. & J.A. Cirando, Esqs. January 2007 - August 2007
Self Employed January 2005 - December 2005
Smith Barney, Inc. November 1995 - January 2005
Smith Barney, Inc. October 2002 - January 2004
Skills
Financial Markets, Estate Planning, Wills, Trusts, Planned Giving, Asset Management, Fundraising, Non-profits, Community Outreach, Public Speaking, Volunteer Management, Nonprofits, Finance, Strategic Planning, Customer Service, Management, Leadership, Research
Education
Syracuse University College of Law 2006 — 2009
J.D.
Purdue University 1987 — 1991
B.S., Management with Finance Option
The Philosophy Group November 2014 - Present
Fitness Together Cold Spring Hills January 2014 - Present
Bridges for Business, Inc. June 2013 - Present
JPMorgan Chase 2008 - 2013
Citigroup 1992 - 2008
Smith Barney, Inc. 1992 - 1998
Skills
Alternative Investments, Capital Markets, Portfolio Management, Banking, Fixed Income, Equities, Investment Banking, Financial Modeling, Financial Analysis, Management, Hedge Funds, Strategy, Finance, Financial Services, Non-profit Consulting, Small Business..., Risk Management, Investments, Asset Management, Securities, Bloomberg, Trading, Financial Markets, Derivatives
Education
Adelphi University 1980 — 1981
MBA, Finance
State University of New York at New Paltz 1972 — 1976
Bachelor of Science (BS), English Literature
Loan Sales and Trading Association 2011 - Present
Fidelity Investments 2003 - Present
HSBC Securities April 2002 - June 2003
Solomon Smith Barney, Citigroup August 1996 - January 2002
Smith Barney Inc August 1991 - August 1994
Education
Columbia University - Columbia Business School 1994 — 1996
MBA, Finance
Denison University 1987 — 1991
The Lawrenceville School 1984 — 1987
Corporate Finance & Strategy Consulting 2012 - Present
Madison Williams and Company December 2009 - November 2011
Sanders Morris Harris / SMH Capital 2004 - 2009
Crest Communications Holdings / Crest Advisors 1996 - 2004
Jareva Technologies 2000 - 2003
Interland Inc. 1999 - 2002
Smith Barney Inc. 1994 - 1996
The Argosy Group 1993 - 1994
Smith Barney Harris Upham 1991 - 1993
Skills
Mergers, Strategy, Finance, Private Equity, Valuation, Energy, Due Diligence, Mergers & Acquisitions, Investment Banking, Capital Markets, Management, Corporate Finance
Education
University of Pennsylvania - The Wharton School 1987 — 1991
SunTrust Robinson Humphrey March 2009 - Present
Banc of America Securities LLC August 1998 - February 2009
Smith Barney Inc. September 1992 - June 1996
Skills
Capital Markets, Investment Banking, Corporate Finance, Leveraged Finance, Mergers & Acquisitions, Finance, Financial Modeling
Education
Cornell University
Bachelor's Degree, Mechanical & Aerospace Engineering
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 1996 — 1998
Master of Business Administration (M.B.A.)
Hubbell, Inc August 2002 - Present
Security Trust Company January 2001 - August 2002
CIGNA Healthcare June 1999 - August 2000
CIGNA Healthcare September 1998 - June 1999
CIGNA Retirement and Investment Services (now Prudential January 1997 - September 1998
Smith Barney, Inc 1997 - 1997
Education
Central Connecticut State University
Bachelor of Arts, Mathematics and Sociology
University of Hartford 1988 — 1991
Associate of Arts, Liberal Arts
Hybrid Capital 2005 - Present
Pinnacle Ventures 2001 - 2004
Comdisco Ventures 1998 - 2001
Smith Barney Inc. 1982 - 1998
Skills
Start-ups, Venture Capital, Private Equity
Education
Stanford University Graduate School of Business 1984 — 1986
MBA
Princeton University 1978 — 1982
BA, Economics
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
Coker Capital Advisors January 2015 - Present
Brown Brothers Harriman 2009 - October 2014
Jefferies & Company April 2004 - April 2008
Credit Suisse First Boston August 1998 - March 2001
Smith Barney Inc. 1994 - 1996
Skills
Equities, Investment Banking, Private Equity, Valuation, Financial Modeling, Chartered Financial..., Capital Markets, Bloomberg
Education
The University of Chicago Booth School of Business 1996 — 1998
MBA, Finance, Accounting
Williams College 1989 — 1993
Bachelor of Arts (B.A.), Philosophy
Phillips Academy
BroadRiver Asset Management, L.P. November 2014 - Present
Crossbow Capital Management July 2013 - November 2014
Chichester Capital Management LP July 2009 - June 2013
Proxima Alfa Investments (USA) LLC (formerly VegaPlus Capital Partners (USA) LLC) June 2005 - July 2009
Citigroup Alternative Investments 1996 - 2005
Smith Barney Inc. 1993 - 1996
Salomon Brothers 1992 - 1993
Paul Weiss 1989 - 1991
US-Japan Fulbright Commission 1988 - 1989
U.S.. Securities and Exchange Commission 1986 - 1988
Education
University of North Carolina School of Law 1980 — 1983
JD
Cornell University 1976 — 1980
BA
American School in Japan 1974 — 1976
RESOURCE COMPANIES, INC. 2004 - Present
MANAGEMENT ENTERPRISES, INC. June 1992 - Present
UBS FINANCIAL SERVICES, INC. April 2000 - December 2004
SMITH BARNEY, INC. March 2000 - December 2004
WHEAT FIRST BUTCHER SINGER, INC. February 1992 - March 1995
DOMINICK & DOMINICK, INC. June 1985 - February 1992
RIVIERE SECURITIES CORPORATION May 1980 - June 1985
Education
University of Maryland College Park 1981 — 1982
N/A, Post graduate studies (1981/2)
The Catholic University of America 1976 — 1981
B.S., Accounting
Morgan Stanley August 2007 - Present
New York Stock Exchange Regulation, Inc. October 2005 - May 2007
Smith Barney, Inc August 2000 - October 2005
Spear Leeds & Kellogg Specialist, LLC May 1999 - August 2000
Skills
Series 7 General..., Series 3 ..., Series 63 Uniform...
Education
Pace University School of Law 2009 — 2013
Juris Doctor Program, Law
University of North Carolina at Chapel Hill 1996 — 1999
B.A., Political Science and Government
Fein, Such, Kahn & Shepard, PC April 2013 - Present
Smith, Buss & Jacobs, LLP January 2010 - April 2013
Wilson Elser October 2008 - December 2009
Smith Barney, Inc May 2006 - October 2008
New York City Law Department May 2000 - May 2006
Skills
Legal Research, Litigation, Legal Writing, Mediation, Trials, Hearings, Depositions, Insurance, Legal Issues, Pleadings, Legal Compliance, Claim, Securities
Education
Fordham University School of Law 2004 — 2008
J.D., Law
Saint John's University 1996 — 1998
B.S., Law
New York City Technical College - CUNY 1993 — 1996
A.A.S., Paralegal Studies
Australia and New Zealand Banking Group December 2009 - Present
Barclays Capital September 2006 - December 2009
Bank of America April 2000 - September 2006
UBS AG May 1997 - March 2000
Smith Barney Inc. December 1991 - May 1997
Security Pacific National Trust Co. January 1984 - December 1991
Skills
Hedge Funds, Capital Markets, Credit Risk, Mortgage Banking, Derivatives, Counterparty Risk
Education
Pace University - Lubin School of Business 1986 — 1989
MBA, Finance
Siena College 1979 — 1981
BS, Marketing/Management
ICU Medical April 2007 - Present
ICU Medical August 2004 - April 2007
Honeywell, Inc. January 2002 - September 2003
Mattel, Inc. January 1996 - February 2001
Smith Barney, Inc. February 1995 - January 1996
Great Western Finanical Securities February 1994 - February 1995
Skills
Capital Equipment, Product Launch, Cross-functional Team..., Medical Devices, Sales Operations, Sales Analysis, Database Administration, Pricing Analysis, Financial Reporting
Education
California State University-San Bernardino - College of Business and Public Administration
B.A., Finance
Riverside Community College
A.S., Mathematics
Nottinghill Capital Management Inc. January 1996 - Present
St. Johns University Graduate School of Business January 2000 - June 2006
Columbia University Graduate School of Business January 1995 - June 2004
Smith Barney Inc. January 1984 - December 1995
Joint Coalition of Community Services 1975 - 1984
COPAY Inc. 1973 - 1984
Skills
Microsoft Excel, Investment Advisory, Investments, Strategic Planning, Management, Mergers & Acquisitions, Leadership, Team Building, Public Speaking, Entrepreneurship, Finance, Marketing Strategy, Customer Service
Education
Pace University - Lubin School of Business 1983 — 1984
MBA, Finance
City University of New York-Hunter College 1977 — 1979
MSW, Clinical/Medical Social Work
Queens College 1975 — 1977
MS, Psychology
Deutsche Bank June 2007 - Present
Silver Point Capital September 2005 - May 2007
GE Capital September 2003 - April 2005
GE Capital August 2000 - August 2003
MapleWood Partners LP May 1999 - August 1999
Salomon Smith Barney January 1998 - May 1998
Compañías Cervecerías Unidas S.A. August 1996 - December 1997
Smith Barney Inc. July 1993 - May 1996
Education
Columbia University - Columbia Business School 1999 — 2000
MBA, Finance
Binghamton University - School of Management 1989 — 1993
BS, Management
FTB Advisors inc. June 2013 - Present
Morgan Stanley September 2012 - June 2013
Morgan Stanley Smith Barney September 2009 - September 2012
Smith Barney Inc. January 2001 - January 2012
Skills
Series 7, Wealth Management, Series 63, FINRA, Series 65, Mutual Funds, Securities, Asset Allocation, Alternative Investments, Retirement Planning, Investment Advisory, Financial Advisory, ETFs, Asset Management, Uniform Combined State...
Education
University of Oklahoma 1976 — 1984
Bachelor of Science/Juris Doctor, Political Science/Law
BrokerTec USA, LLC 2001 - 2003
HSBC Bank USA Inc. 2000 - 2001
Bank of Montreal/Nesbitt Burns Securities 1999 - 2001
Delta Clearing Corporation 1996 - 1998
Smith Barney Inc. 1987 - 1995
Merrill Lynch 1979 - 1987
Skills
Capital Markets, Fixed Income, Derivatives, Market Risk, Hedge Funds, Investment Banking, FX Options, Equities, Credit Risk, Financial Markets, Portfolio Management, Equity Derivatives, Options, Securities, Structured Finance, Structured Products, Risk Management, Credit, Bonds, Credit Derivatives, Asset Management, Bloomberg, Alternative Investments, Financial Risk, Trading Systems, Swaps
Education
Saint Peter's University
BA, Economics/Mathematics
Private Senior Product Finance Analyst - Fixed AnnuitiesGenworth FinancialJanuary 2005 - July 2007
Self Employed January 2003 - January 2005
Anderson & Strudwick, Inc. January 2001 - December 2002
Branch Cabell & Co., Inc. September 1998 - December 2000
Smith Barney, Inc. March 1994 - August 1998
Skills
Investments, Fixed Income, Equities, Capital Markets, Finance, Corporate Finance, Trading, Business Development, Analysis, Market Analysis, Accounting, Sales, Financial Planning, Financial Modeling, Financial Analysis, Valuation, Portfolio Management, Fixed Annuities, Financial Services, Banking, Risk Management, Mutual Funds
Education
Northwestern University - Kellogg School of Management 1980 — 1981
MBA, Finance and Accounting
University of Virginia 1973 — 1977
BS, Commerce - Finance
New York Public Library November 2010 - Present
International Insitute of Education June 2008 - October 2010
Monmouth University November 2004 - August 2007
VNA Of Central Jersey December 1997 - October 2004
Smith Barney, Inc. October 1991 - December 1997
Education
Monmouth University 2004 — 2007
MBA, Finance
Georgian Court College 1992 — 1995
Bachelor's Degree, Accounting
New Mexico State University 1979 — 1981
Associate's Degree, Accounting
Wells Fargo 2008 - Present
New York Life Retirement Plan Services 2004 - 2008
Columbia Management Group 1998 - 2004
First Citizens Investor Services 1996 - 1998
Smith Barney, Inc. 1994 - 1996
National Westminster Bank 1992 - 1994
National Westminster Bank 1989 - 1992
Sumitomo Bank of California 1986 - 1989
Skills
Retirement Planning, Mutual Funds, Investments, Management, Retirement, Banking, Financial Advisory, Leadership, Risk Management, Securities, Series 6, Asset Allocation, Series 63, Portfolio Management, Bonds, Series 7, Credit, Valuation, Finance, Asset Management, Corporate Finance, Due Diligence, Wealth Management, 401k
Education
University of California, Santa Barbara 1980 — 1985
BA, Business Economics
Trinity College Dublin 1984 — 1984
Economics
BTIG 2015 - Present
Finance Company of Pennsylvania 2015 - Present
TONIX Pharmaceuticals 2011 - Present
Mather & Company 2008 - Present
Janney Montgomery Scott 2009 - 2015
Jefferies & Company 2007 - 2009
Cowen and Company 1997 - 2007
Smith Barney, Inc. 1993 - 1997
Prudential Capital Group 1986 - 1993
Skills
Investment Banking, Private Placements, Valuation, IPO, Private Equity, Alternative Investments, Capital Markets, Venture Capital, Mergers & Acquisitions, Investor Relations, Corporate Development, Financial Modeling, Emerging Markets, Financial Structuring, Equities, Corporate Finance, Equity Research, Securities, Leveraged Finance, Fixed Income, Board of Directors, Investment Management, M&A experience, Series 7, Series 24, CFA, MBA
Education
Brown University
AB
University of Pennsylvania - The Wharton School
MBA, Finance
Christopher L. Hudson Consulting, LLC August 2014 - Present
Morgan Stanley March 2013 - July 2014
Merrill Lynch March 2006 - March 2013
Wells Fargo Advisors October 1997 - March 2006
Smith Barney, Inc. April 1995 - November 1997
PNC May 1994 - April 1995
Skills
Retirement Planning, Investment Strategies, Portfolio Management, Asset Allocation, Investments, Strategic Financial..., Pensions, Series 7, Concentrated Stock..., Employee Stock Options, Qualified Retirement..., Equities, Financial Planning, Retirement, Rule 144 Restricted..., Cash Flow Forecasting, Hedge Funds, Options, 401k Rollovers, Fixed Income, Alternative Investments, Structured Products, Series 63
Education
Wharton School of Business; University of Pennsylvania 2007 — 2008
Certified Investment Management Analyst Program
University of Pennsylvania - The Wharton School
BOSC, Inc February 2014 - July 2015
Cantella & Co, Inc. September 2011 - September 2013
ING Financial Partners January 2011 - August 2011
ING Financial Advisers November 2004 - December 2010
Employee Relations Associates August 2004 - October 2004
THE MASS MUTUAL FINANCIAL GROUP September 2003 - June 2004
SMITH BARNEY, INC March 2002 - August 2003
H.C. WAINWRIGHT & CO., INC March 2001 - March 2002
Skills
Securities, Series 7, Investments, Bonds, Portfolio Management, Training, Trading, Bloomberg, Insurance, Alternative Investments, Retirement Planning, Accounting, Management, Fixed Annuities, Accounts Payable, Asset Management, Financial Advisory, Equities, Fixed Income, Retirement, Series 24, Mutual Funds, Sales, Wealth Management, Series 6, Financial Services, FINRA, Series 63
Education
BROWARD COMMUNITY COLLEGE
AA, Elementary Education
University of Florida 1987 — 1990
Morgan Stanley July 2013 - Present
Two Four May 2010 - July 2013
Edward Jones September 2009 - March 2010
B of A - Merrill Lynch (Broadcort Division) September 2007 - March 2009
Pershing LLC June 1995 - September 2007
Smith Barney, Inc. May 1992 - June 1995
Shearson Lehman Brothers 1985 - 1992
Skills
Series 7, Series 63, Mutual Funds, Equities, Investments, Alternative Investments, Fixed Income, Securities, Financial Services
Education
Montclair State University 1971 — 1975
Bachelor of Arts, English
Capital One March 2014 - Present
Morgan Stanley Wealth Management March 2010 - March 2014
UBS Financial Services July 2007 - November 2009
UBS Financial Services January 2008 - July 2009
UBS 2007 - 2009
Smith Barney Inc April 1987 - July 2007
Merrill Lynch Inc June 1985 - April 1987
Skills
Investments, Equities, Operations Management, Mutual Funds, Investment Advisory, Operations, Wealth Management, Asset Managment, Portfolio Management, Strategic Financial..., Securities, Series 7, Risk Management, Financial Services, Management, Series 63, Series 8
Education
Elizabethtown College 1981 — 1985
B.A., Political Science
Springfield High School 1979 — 1981
High School Diploma, College Prep
FINRA August 2009 - Present
Fidelity Investments June 1992 - June 2009
Fidelity Investments July 2000 - May 2004
Fidelity Investments January 1997 - July 2000
Fidelity Investments June 1992 - December 1996
Smith Barney, Inc June 1990 - May 1992
Skills
Securities, Internal Controls, Auditing, Capital Markets, Portfolio Management, Financial Services, Analysis, Trading, Account Reconciliation, Management, Internal Audit, Mutual Funds, Equities, Series 7, Fixed Income
Education
Rutgers, The State University of New Jersey-Newark 1998 — 2004
MBA
New York Institute of Technology 1985 — 1989
BS
Bangalore University 1975 — 1978
B.Sc.
Bangalore University 1975 — 1978
St. Joseph's College of Arts and Science, Bangalore University 1975 — 1978
BS
st joseph's college 1975 — 1978
B.Sc.
GE Capital Corporation 1996 - 2000
Smith Barney, Inc. 1988 - 1995
Salomon Brothers Inc 1978 - 1987
Goldman, Sachs & Co. 1975 - 1977
Education
The Tuck School of Business at Dartmouth 1973 — 1975
MBA, Finance & Accounting
Dartmouth College 1968 — 1972
B.A., Economics, w/high distinction
Automotive Dealers Finance November 2009 - Present
Strategic Home Capital February 2010 - August 2010
Strategic Home Capital January 2009 - August 2010
FranklinCovey, Inc January 2007 - January 2008
Smith Barney Inc January 1998 - January 2001
Smith Barney January 1993 - January 1998
Evergreen Hospital Medical Center January 1992 - January 1993
The Southland Corporation January 1990 - January 1992
Washington State University January 1987 - January 1990
Skills
Financial Analysis, Credit, Microsoft Excel, Finance, Loans, Investments, Accounting, Customer Service, Microsoft Office, Strategic Financial..., Microsoft Word, PowerPoint, Risk Management, Financial Reporting, Outlook, Budgets, Insurance, Portfolio Management
Education
Washington State University
Brigham Young University
Washington State University
Business Administration, Human Resource Management
Bloomberg LP February 2015 - Present
Bloomberg January 2009 - Present
Spectra Capital LLC August 1998 - December 2008
Donaldson, Lufkin & Jenrette, Inc. August 1997 - December 1997
ING Barings (US) Capital Markets, Inc. April 1996 - June 1997
Smith Barney, Inc. March 1994 - April 1996
Kidder, Peabody & Co., Inc. September 1987 - June 1989
Drexel Burnham Lambert, Inc. January 1980 - September 1987
Skills
Trading, Bloomberg, Economics, FX trading, Foreign Exchange, Management, Financial Markets, Fixed Income, Electronic Trading, Derivatives, Trading Systems, Equities, Market Data, FX Options, Capital Markets, Hedge Funds, Portfolio Management, Product Management, Options
Education
Pace University - Lubin School of Business
International Business
The George Washington University
Economics
Liv Sotheby's International Realty April 2013 - Present
Capital International Management LLC 1995 - 2013
Smith Barney, Inc. September 1981 - March 1995
Skills
Real Estate Sales, Real Estate Finance, Residential Homes..., Real Estate Valuation, Real Estate Negotiating, Real Estate Investment..., Investment Banking, Investments, Entrepreneurship, Banking, Corporate Finance, Corporate Development, Mergers & Acquisitions, Due Diligence, Venture Capital, Alternative Investments, Private Equity, Financial Analysis, Restructuring
Education
Connecticut College
Political Philosophy, Post Graduate
The London School of Economics and Political Science (LSE)
Economic Relations, Post Graduate
US Coast Guard Academy
Bachelor's Degree, Engineering, Undergraduate
SS&C Technologies March 2015 - Present
State Street Corp March 2010 - February 2015
Citizens Bank December 2009 - March 2010
Smith Barney Inc June 2007 - August 2007
Skills
Financial Analysis, Accounting, Financial Services, Finance, Valuation, Equities, Financial Reporting, Fixed Income, Private Equity, Financial Statements, Bloomberg, Portfolio Management, Mutual Funds
Education
Suffolk University 2004 — 2009
BSBA, Finance and Economics
Suffolk University 2004 — 2009
Bachelor of Science (BS), Accounting and Finance
Hospice Buffalo January 2014 - Present
Laping, Surdej Associates LLC November 2011 - January 2014
Capital District Psychiatric Center June 2011 - August 2011
WSWHE Boces September 2009 - June 2010
Millard Fillmore Hospital January 1995 - January 1998
Child & Family Services Employee Assistance Program October 1990 - January 1994
NYC Office of Municipal Labor Relations Employee Assistance Program September 1989 - June 1990
Jewish Home and Hospital/Jewish Guild for the Blind September 1988 - June 1989
Smith Barney, Inc. May 1986 - June 1988
Education
The Sage Colleges-Sage Graduate School 2010 — 2011
Certificate, Gerontology
Columbia University in the City of New York 1988 — 1990
MS, Social Work
Ithaca College 1978 — 1982
BA, Psychology
Williamsville East and Williamsville North
City of StAnthony May 2012 - Present
5 County Detention/Probation Center March 2011 - May 2012
Prudential Financial April 2007 - April 2010
Image Associates January 2000 - April 2007
CDI Corporation January 1999 - December 1999
Devonshire/DeSoto Shell August 1998 - January 1999
Prudential Insurance Company of America June 1997 - July 1998
Smith Barney, Inc June 1996 - May 1997
Environment Associates August 1995 - November 1995
Comp-Tech, Inc June 1994 - August 1995
Skills
Customer Service, Team Building, Accounts Payable, Account Reconciliation, Training, Spreadsheets, Management, Invoicing, Negotiation, Product Development, Sales, Accounting, Time Management, Process Improvement, Finance, Access, Account Management, Accounts Receivable, Contract Negotiation, Customer Satisfaction, Databases, Insurance, Manufacturing, Microsoft Excel, Microsoft Office, Operations Management, Policy, Public Speaking, Purchasing, Sales Management, Team Leadership, Troubleshooting
Education
Pierce College 1979 — 1981
General Ed/Business
New Horizons CLC
N/A, Computer Systems Networking and Telecommunications
Northland Securities September 2007 - Present
Cleary Gull Inc. October 1998 - September 2007
Smith Barney Inc. January 1995 - October 1998
Education
Baylor University 1990 — 1991
MBA, Finance
Baylor University 1986 — 1990
BBA, Economics and Finance
New Berlin Eisenhower 1982 — 1986
Re:Vision Architecture April 2013 - Present
Sharyn' Giggles November 2012 - Present
Faurot Construction February 2012 - November 2012
NDP GROUP, LLC January 2010 - February 2012
TRH Interior Design October 2003 - January 2010
SMITH BARNEY, INC April 2002 - October 2003
SMITH BARNEY, INC July 1999 - March 2002
JANNEY MONTGOMERY SCOTT, INC April 1996 - July 1999
Skills
Microsoft Office, Financial Reporting, Accounting, Forecasting, Payroll, Budgets, Auditing, Cash Management, Analysis, Invoicing, Bookkeeping, Finance, Management, Tax, Cash Flow Forecasting, Microsoft Excel, Public Speaking, Customer Service, Corporate Finance, Social Media, Event Planning, Insurance, Market Research, Bank Reconciliation
Education
Community College of Philadelphia 1993 — 1995
Associate Degree, General Studies
CENTRAL HIGH SCHOOL 1989 — 1993
Diploma
Self -Employed July 2012 - Present
Cantor Fitzgerald October 2009 - July 2012
Lehman Brothers Holdings, Inc July 1996 - September 2008
Smith Barney Inc November 1993 - June 1996
Mabon Securities Corp November 1986 - November 1993
Skills
Trading, Bonds, Fixed Income, Swaps, Securities, MBS, Financial Services, Analysis, Settlement, Back Office, Options, Financial Risk, Bloomberg, Prime Brokerage, Equities
Education
NJCU
Bachelor of Arts Degree, Communications
New Jersey City University
Wellington Management Company LLP 2001 - Present
GTCR Golder Rauner 1997 - 1999
Alex. Brown & Sons, Inc. 1996 - 1997
Smith Barney Inc. 1994 - 1996
Education
Harvard Business School 1999 — 2001
MBA
Yale University 1990 — 1994
BS, Mechanical Engineering
Dorset Trade & Finance LLC January 2014 - Present
Global Horizons LLC July 2000 - Present
Cerion Energy Inc July 2011 - December 2013
Global Commodities Trade and Finance LLC 2006 - 2010
Global Commodities Trade and Finance LLC 2006 - 2010
Global Commodities Trade and Finance LLC 2006 - 2010
Smith Barney Inc 1993 - 1995
Trinity Commodities Corporation 1976 - 1990
Pensa Trade, S.A. 1986 - 1989
Richco Ltd. 1980 - 1983
Skills
Trading, Energy, Commodity, Venture Capital, Commodity Markets, Private Equity, Leadership, Strategic Partnerships, Entrepreneurship, Start-ups, Mergers & Acquisitions, Product Development, Joint Ventures, Strategy, Emerging Markets, Contract Negotiation, Corporate Development
Education
Universidad de Buenos Aires 1966 — 1973
Law, International Law
J.P. Morgan April 2012 - Present
Morgan Stanley Smith Barney, LLC June 2010 - April 2012
WaterStreet Investment Consultants, LLC September 2004 - June 2010
Eklektikos Capital Management, LLC September 2005 - May 2010
Smith Barney, Inc January 2001 - January 2004
Skills
Investments, Alternative Investments, Structured Investments, Tactical Asset..., Dynamic Asset Allocation
Education
The University of Texas at Austin 1997 — 2001
Bachelor of Business Administration (B.B.A.), Finance, General
Oak Hill Advisors January 2007 - Present
HSBC Bank May 2006 - December 2006
HSBC Alternative Fund Services June 2005 - April 2006
Smith Barney, Inc January 2002 - June 2005
Skills
Hedge Funds, Bloomberg, Alternative Investments, Financial Reporting, Investment Banking, Investments, Funding, Bloomberg Terminal, Bonds, Credit, Financial Modeling, Equities, Account Reconciliation, Access, Valuation, Portfolio Management, Trading, Securities, Finance, Mutual Funds, Options
Education
St. John's University, The Peter J. Tobin College of Business 1998 — 2002
B.S., Finance
Global Alternative Investment Services, Inc January 2004 - Present
Wachovia - Wealth Management 2001 - December 2003
Interstate / Johnson Lane, Inc. 1998 - 2001
Interstate / Johnson Lane, Inc. 1993 - 1998
Interstate / Johnson Lane, Inc. 1991 - 1998
Smith Barney, Inc. 1990 - 1991
Smith Barney, Inc. 1981 - 1991
Merrill Lynch 1977 - 1981
Merrill Lynch 1973 - 1977
U. S Army 1968 - 1971
Skills
Portfolio Management, Sales Leadership..., Sales Training
Education
University of South Carolina-Columbia 1971 — 1973
Master of Arts (M.A.), International Studies
Belmont Abbey College 1964 — 1968
BA, Political Science
SunTrust Bank October 2010 - Present
Key Private Bank June 2009 - October 2010
U.S. Trust/Bank of America September 2003 - March 2009
EPW Investment Management July 1996 - June 2003
Smith Barney, Inc. October 1994 - July 1996
Skills
Portfolio Management, Asset Allocation, Investments, Wealth Management, Wealth Management..., Investment Strategies, Chartered Financial..., Investment Management, Asset Managment, Alternative Investments, Equities, Fixed Income, Investment Advisory, Hedge Funds, Financial Planning, High Net Worth..., Financial Services, Retirement Planning, Family Office
Education
Auburn University 1985 — 1989
Bachelor of Science (BS), Finance, General
Broadridge Business Process Outsourcing, LLC March 2006 - Present
Charles Schwab & Co.,Inc June 1996 - December 2005
Pershing Division of Donaldson, Lufkin & Jenrette May 1994 - June 1996
Smith Barney, Inc March 1992 - May 1994
Shearson Lehman Brothers, Inc. May 1987 - March 1992
Merrill Lynch Pierce Fenner and Smith, Inc. July 1983 - April 1987
Skills
Risk Management, Strategic Planning, Change Management, Business Strategy, Process Improvement, Executive Management, Global Operations, Business Development, Financial Services, Business Process..., Organizational..., Thought Leadership
Education
Hofstra University 1981 — 1983
Bachelor of Business Administration (BBA), Banking, Finance and Investments
Michigan State University 1978 — 1981
Accounting
Kaiser Permanente December 2011 - Present
Kaiser Permanente June 2006 - December 2009
Zoho Corporation 1999 - 2001
Danka Office Imaging 1998 - 1999
Smith Barney Inc. June 1995 - September 1997
Skills
Finance, Healthcare, Hospitals, Sales, Start-ups, Leadership, ACLS, Critical Care, Marketing, Surgery, EMR, Healthcare Management, Nursing, Customer Service, Budgets, BLS
Education
Samuel Merritt University 2009 — 2011
Masters, Anesthesiology, Nurse Anesthetist, Awarded Most Outstanding Student
California State University-Sacramento 2004 — 2006
Bachelors of Science, Nursing, Registered Nursing/Registered Nurse
Stanford University 1991 — 1995
Bachelor of Arts (B.A.), International Relations
Citi July 2008 - June 2014
Sandelman Partners December 2006 - June 2008
Bank of America August 2002 - December 2006
Smith Barney, Inc. November 1993 - August 2002
Skills
Microsoft Excel, Microsoft Office, Microsoft Word, PowerPoint, Customer Service, Outlook, Public Speaking, Strategic Planning, English, Windows, Research, Teaching, Photoshop, HTML, Budgets, Negotiation, Editing, C++, C, Java
Education
Pace University 1992 — 1994
Pace University-New York
Self-employed 2011 - Present
Citigroup Asset Management 2000 - 2006
Smith Barney Asset Management 1997 - 2000
Smith Barney Inc. 1993 - 1997
Federal Reserve Bank of New York 1990 - 1993
Education
Hofstra University
BBA, International Business