Spear, Leeds & Kellogg
Industry: Capital market company
DescriptionHeadquarters: New York City, NY Founded: 1931 Parent organizations: Goldman Sachs, GS Financial Services II, LLC, GSTM LLC
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Spear, Leeds & Kellogg Employees
Employee
Years
Job
Industry
Maria Theresa Abejo Maria Theresa Abejo's Spear, Leeds & Kellogg Experience April 1998 - December 1999
Job Vice President at Goldman Sachs
Industry Investment Banking
Experience
Goldman Sachs December 1999 - Present
Spear, Leeds & Kellogg April 1998 - December 1999
AT&T June 1997 - April 1998
ISI M&M Mars March 1995 - June 1997
Pershing Partners June 1994 - March 1995
Lehman Brothers October 1993 - June 1994
Housing and Development Board - Singapore February 1993 - October 1993
Equitable Computer Services April 1989 - October 1993
Skills
Business Analysis, Business Requirements, DB2, Equities, Fixed Income, Trading Systems, Program Management, SDLC, Requirements Gathering, Financial Services, User Acceptance Testing, Software Project..., SQL, Requirements Analysis, Securities, Software Development, Portfolio Management, Visio, Unix, Production Support, Systems Analysis, SharePoint, Database Design, Analysis, Strategic Planning, Investment Banking, Prime Brokerage, Strategy, Sybase, Vendor Management, IT Strategy, Project Management
Education
New York University 1995 — 1995
C Programming
St. Paul College of Manila 1983 — 1987
Bachelor Science in Information and Computer Science, Computer Science
Goldman Sachs December 1999 - Present
Spear, Leeds & Kellogg April 1998 - December 1999
AT&T June 1997 - April 1998
ISI M&M Mars March 1995 - June 1997
Pershing Partners June 1994 - March 1995
Lehman Brothers October 1993 - June 1994
Housing and Development Board - Singapore February 1993 - October 1993
Equitable Computer Services April 1989 - October 1993
Skills
Business Analysis, Business Requirements, DB2, Equities, Fixed Income, Trading Systems, Program Management, SDLC, Requirements Gathering, Financial Services, User Acceptance Testing, Software Project..., SQL, Requirements Analysis, Securities, Software Development, Portfolio Management, Visio, Unix, Production Support, Systems Analysis, SharePoint, Database Design, Analysis, Strategic Planning, Investment Banking, Prime Brokerage, Strategy, Sybase, Vendor Management, IT Strategy, Project Management
Education
New York University 1995 — 1995
C Programming
St. Paul College of Manila 1983 — 1987
Bachelor Science in Information and Computer Science, Computer Science
Greg Kalt's Spear, Leeds & Kellogg Experience 1995 - 1997
Job Senior Audit Manager
Industry Insurance
Experience
AIG June 2015 - Present
GE Capital October 2013 - June 2015
RBS Markets & International Banking May 2012 - March 2013
UBS Investment Bank November 2006 - May 2012
KPMG, LLP August 2003 - November 2006
Standard & Poors June 2000 - August 2003
KPMG Consulting 1997 - 2000
Spear, Leeds & Kellogg 1995 - 1997
Oppenheimer & Co. 1994 - 1995
Skills
Risk Management, Operational Risk, Investment Banking, Microsoft Office, Risk, Advisory, Banking Operations, Process Consulting, Compliance, Operational Efficiency, Foreign Exchange, Derivative Operations, Middle Office, Securities Regulation, Dodd-Frank, Professional Services, Financial Risk, Financial Advisory, Capital Markets, Operational Risk..., Trading, Fixed Income, Back Office, Prime Brokerage, Management, Triathlon, Derivatives, Finance, Financial Services, Securities, Internal Audit
Education
Boston University 1989 — 1992
BSBA
Matawan regional HS
AIG June 2015 - Present
GE Capital October 2013 - June 2015
RBS Markets & International Banking May 2012 - March 2013
UBS Investment Bank November 2006 - May 2012
KPMG, LLP August 2003 - November 2006
Standard & Poors June 2000 - August 2003
KPMG Consulting 1997 - 2000
Spear, Leeds & Kellogg 1995 - 1997
Oppenheimer & Co. 1994 - 1995
Skills
Risk Management, Operational Risk, Investment Banking, Microsoft Office, Risk, Advisory, Banking Operations, Process Consulting, Compliance, Operational Efficiency, Foreign Exchange, Derivative Operations, Middle Office, Securities Regulation, Dodd-Frank, Professional Services, Financial Risk, Financial Advisory, Capital Markets, Operational Risk..., Trading, Fixed Income, Back Office, Prime Brokerage, Management, Triathlon, Derivatives, Finance, Financial Services, Securities, Internal Audit
Education
Boston University 1989 — 1992
BSBA
Matawan regional HS
Patrick S. LaSalle's Spear, Leeds & Kellogg Experience January 1995 - August 1999
Job Financial Services Industry Specialist at TELSTRA
Industry Financial Services
Experience
TELSTRA May 2014 - Present
Interactive Data 7ticks January 2012 - May 2014
NASDAQ OMX December 2005 - April 2011
INET ATS, INC. (INSTINET GROUP, INC.) October 2004 - December 2005
INSTINET, LLC August 1999 - October 2004
SPEAR, LEEDS & KELLOGG January 1995 - August 1999
Skills
Electronic Trading, Teamwork, Problem Solving, Trading Systems, Market Structure, Low Latency, Smart Order Routing, Exchange Connectivity, Market Making, Market Data, Customer Service, Equity Trading, Trading Technology, Team Leadership, Equity Derivatives, Order Management, Equities, Customer Relations, Trade Execution, Goal Oriented, Trading, Alternative Investments, Asset Management, Bloomberg, Capital Markets, Commodity, Derivatives, FINRA, FX trading, FX Options, Financial Markets, Financial Services, Hedge Funds, Fixed Income, Options, Risk Management, Routing, Securities, Series 63, Series 7
Education
University of Maryland - Robert H. Smith School of Business 1986 — 1990
Bachelor of Science, Finance
TELSTRA May 2014 - Present
Interactive Data 7ticks January 2012 - May 2014
NASDAQ OMX December 2005 - April 2011
INET ATS, INC. (INSTINET GROUP, INC.) October 2004 - December 2005
INSTINET, LLC August 1999 - October 2004
SPEAR, LEEDS & KELLOGG January 1995 - August 1999
Skills
Electronic Trading, Teamwork, Problem Solving, Trading Systems, Market Structure, Low Latency, Smart Order Routing, Exchange Connectivity, Market Making, Market Data, Customer Service, Equity Trading, Trading Technology, Team Leadership, Equity Derivatives, Order Management, Equities, Customer Relations, Trade Execution, Goal Oriented, Trading, Alternative Investments, Asset Management, Bloomberg, Capital Markets, Commodity, Derivatives, FINRA, FX trading, FX Options, Financial Markets, Financial Services, Hedge Funds, Fixed Income, Options, Risk Management, Routing, Securities, Series 63, Series 7
Education
University of Maryland - Robert H. Smith School of Business 1986 — 1990
Bachelor of Science, Finance
Julia Bronson Julia Bronson's Spear, Leeds & Kellogg Experience May 1999 - October 2000
Job Financial services
Industry Financial Services
Experience
Liquid Holdings Group April 2013 - September 2014
LyonRoss Capital Management May 2011 - November 2012
Goldman Sachs October 2000 - September 2007
Spear, Leeds & Kellogg May 1999 - October 2000
Skills
Electronic Trading, Trading Systems, Prime Brokerage, Series 7, Series 24, Asset Management, Investment Advisory, Series 63, Options, Management, Clearing, Brokerage, Broker-Dealer, Hedge Funds, Market Data, Risk Management, Equity Trading, Portfolio Management, Financial Markets, Structured Products, Capital Markets, Securities, Trading, FX Options, Financial Services, Credit Derivatives, Investments, Bloomberg, Commodity, FINRA
Education
The University of Chicago Law School 1991 — 1994
JD
University of Missouri-Columbia 1986 — 1990
Bachelor of Arts
Liquid Holdings Group April 2013 - September 2014
LyonRoss Capital Management May 2011 - November 2012
Goldman Sachs October 2000 - September 2007
Spear, Leeds & Kellogg May 1999 - October 2000
Skills
Electronic Trading, Trading Systems, Prime Brokerage, Series 7, Series 24, Asset Management, Investment Advisory, Series 63, Options, Management, Clearing, Brokerage, Broker-Dealer, Hedge Funds, Market Data, Risk Management, Equity Trading, Portfolio Management, Financial Markets, Structured Products, Capital Markets, Securities, Trading, FX Options, Financial Services, Credit Derivatives, Investments, Bloomberg, Commodity, FINRA
Education
The University of Chicago Law School 1991 — 1994
JD
University of Missouri-Columbia 1986 — 1990
Bachelor of Arts
Steven Abrams Steven Abrams's Spear, Leeds & Kellogg Experience September 1977 - January 1988
Job Equity Trader at Quasar Trading
Industry Financial Services
Experience
Quasar Trading February 2015 - Present
First New York Securities February 2014 - August 2014
G-2 Trading February 2013 - February 2014
Westside Trading LLC January 2000 - January 2013
First New York Securities January 1989 - January 1998
Spear Leeds @ Kellogg September 1977 - January 1988
Skills
Investments, Equities, Strategic Planning, Trading, Portfolio Management, Customer Service, Hedge Funds, Marketing Strategy, Advertising, Content Strategy, New Media, Streaming Media, Entertainment, Asset Management, Options
Education
Franklin & Marshall College 1977 — 1981
Bachelor of Arts (B.A.), Finance
Horace Mann High School 1972 — 1977
Quasar Trading February 2015 - Present
First New York Securities February 2014 - August 2014
G-2 Trading February 2013 - February 2014
Westside Trading LLC January 2000 - January 2013
First New York Securities January 1989 - January 1998
Spear Leeds @ Kellogg September 1977 - January 1988
Skills
Investments, Equities, Strategic Planning, Trading, Portfolio Management, Customer Service, Hedge Funds, Marketing Strategy, Advertising, Content Strategy, New Media, Streaming Media, Entertainment, Asset Management, Options
Education
Franklin & Marshall College 1977 — 1981
Bachelor of Arts (B.A.), Finance
Horace Mann High School 1972 — 1977
Lillian Seidman Davis Lillian Seidman Davis's Spear, Leeds & Kellogg Experience 1993 - 1993
Job DerivativesCash / SalesTrading: Analysis,Information Aggregation at ICAP
Industry Capital Markets
Experience
ICAP June 2014 - Present
Miller Tabak + Co., LLC October 1995 - April 2014
Bear Stearns 1993 - 1993
O'Connor & Associates 1993 - 1993
Spear Leeds & Kellogg 1993 - 1993
American Stock Exchange 1993 - 1993
Skills
Options, Trading, Equities, Derivatives, Series 7, Bloomberg, Hedge Funds, Options Strategies, Derivatives Trading, Series 63, Trading Strategies, Financial Risk, Financial Markets, Portfolio Management, Youth Mentoring, Investments, Capital Markets, President of NYC..., Option Valuation, Hedging, Proprietary Trading, Alternative Investments, Risk Assessment, Treasurer of NYC..., Member of CNYC Council..., QuickBooks, Tutoring, Equity Trading, Valuation, Risk Management, Trading Systems, ETFs, FINRA, Securities, Equity Derivatives
Education
University of Michigan
Fordham University - Graduate School of Business Administration 1993 — 1995
Master of Business Administration (MBA)
John Dewey High School
ICAP June 2014 - Present
Miller Tabak + Co., LLC October 1995 - April 2014
Bear Stearns 1993 - 1993
O'Connor & Associates 1993 - 1993
Spear Leeds & Kellogg 1993 - 1993
American Stock Exchange 1993 - 1993
Skills
Options, Trading, Equities, Derivatives, Series 7, Bloomberg, Hedge Funds, Options Strategies, Derivatives Trading, Series 63, Trading Strategies, Financial Risk, Financial Markets, Portfolio Management, Youth Mentoring, Investments, Capital Markets, President of NYC..., Option Valuation, Hedging, Proprietary Trading, Alternative Investments, Risk Assessment, Treasurer of NYC..., Member of CNYC Council..., QuickBooks, Tutoring, Equity Trading, Valuation, Risk Management, Trading Systems, ETFs, FINRA, Securities, Equity Derivatives
Education
University of Michigan
Fordham University - Graduate School of Business Administration 1993 — 1995
Master of Business Administration (MBA)
John Dewey High School
Michael Silver Michael Silver's Spear, Leeds & Kellogg Experience 1992 - 1995
Job Senior Financial Advisor at Edge Wealth Management
Industry Investment Management
Experience
Edge Wealth Management November 2012 - Present
Aurelius Capital Management 2007 - 2011
JohnDavis Capital Management July 2002 - December 2004
Och Ziff Capital Management April 1995 - January 2002
Spear Leeds & Kellogg 1992 - 1995
Education
Babson College - Franklin W. Olin Graduate School of Business 1990 — 1992
Master of Business Administration, Finance
Lehigh University 1984 — 1988
Master of Science, Finance
Great Neck South H.S. 1980 — 1984
Edge Wealth Management November 2012 - Present
Aurelius Capital Management 2007 - 2011
JohnDavis Capital Management July 2002 - December 2004
Och Ziff Capital Management April 1995 - January 2002
Spear Leeds & Kellogg 1992 - 1995
Education
Babson College - Franklin W. Olin Graduate School of Business 1990 — 1992
Master of Business Administration, Finance
Lehigh University 1984 — 1988
Master of Science, Finance
Great Neck South H.S. 1980 — 1984
Louis Gritsipis's Spear, Leeds & Kellogg Experience August 1996 - September 1999
Job Shared Accounting Services Coordinator at JWT
Industry Marketing and Advertising
Experience
JWT August 2002 - Present
Citi September 1999 - August 2002
Spear, Leeds & Kellogg August 1996 - September 1999
Skills
Problem Solving, Customer Service, Typing, Meet Deadlines, Multi Tasking, Works well in a team, Work Well Independently, Monthly Close Process, Auditing, Code Review, Expenses, Time Management, Bank Reconciliation, Accruals, Financial Statements, Payroll
Education
Laguardia Community College 1988 — 1992
Associate of Science (AS), Business, Management, Marketing, and Related Support Services
Norman Thomas High School 1985 — 1988
JWT August 2002 - Present
Citi September 1999 - August 2002
Spear, Leeds & Kellogg August 1996 - September 1999
Skills
Problem Solving, Customer Service, Typing, Meet Deadlines, Multi Tasking, Works well in a team, Work Well Independently, Monthly Close Process, Auditing, Code Review, Expenses, Time Management, Bank Reconciliation, Accruals, Financial Statements, Payroll
Education
Laguardia Community College 1988 — 1992
Associate of Science (AS), Business, Management, Marketing, and Related Support Services
Norman Thomas High School 1985 — 1988
MaryFran Cleary's Spear, Leeds & Kellogg Experience 1997 - 2005
Job Market Structure Analyst at Optiver US LLC
Industry Financial Services
Experience
Optiver US LLC 2014 - Present
UBS Global Asset Management 2012 - 2014
Goldman Sachs Execution & Clearing LP 2005 - 2012
Spear, Leeds & Kellogg 1997 - 2005
First Options of Chicago, Inc. 1986 - 1997
Skills
Clearing, Options, Excel, Word, Integration, Futures, Portals, Product Development, Client Service, Financial Reporting, operations, Equity Derivatives, Asset Management, Investment Management, Microsoft Excel, Financial Services, Investments, Microsoft Word, Fixed Income, Equities, Trading, Equity Trading, Electronic Trading, Derivatives, Bloomberg, Prime Brokerage, ETFs, Securities, Market Data, Series 63, FINRA, Bonds, Financial Markets, Capital Markets, FX Options, Middle Office, Proprietary Trading, Asset Allocation, Commodity
Education
Marquette University 1982 — 1986
BS, Busines Administration-Finance
St. Ignatius College Prep
Optiver US LLC 2014 - Present
UBS Global Asset Management 2012 - 2014
Goldman Sachs Execution & Clearing LP 2005 - 2012
Spear, Leeds & Kellogg 1997 - 2005
First Options of Chicago, Inc. 1986 - 1997
Skills
Clearing, Options, Excel, Word, Integration, Futures, Portals, Product Development, Client Service, Financial Reporting, operations, Equity Derivatives, Asset Management, Investment Management, Microsoft Excel, Financial Services, Investments, Microsoft Word, Fixed Income, Equities, Trading, Equity Trading, Electronic Trading, Derivatives, Bloomberg, Prime Brokerage, ETFs, Securities, Market Data, Series 63, FINRA, Bonds, Financial Markets, Capital Markets, FX Options, Middle Office, Proprietary Trading, Asset Allocation, Commodity
Education
Marquette University 1982 — 1986
BS, Busines Administration-Finance
St. Ignatius College Prep
Todd J. Christie Todd J. Christie's Spear, Leeds & Kellogg Experience April 1986 - December 1999
Job Director at Ernst & Young
Industry Financial Services
Experience
Ernst & Young November 2012 - Present
Sica Wealth Management March 2011 - July 2012
Big Blue Trading, LLC November 2007 - March 2010
Chris Christie Inaugural Committee November 2009 - January 2010
Christie For Governor '09 January 2009 - November 2009
Goldman Sachs 1999 - 2003
Spear Leeds & Kellogg A Goldman Sachs Company 1996 - 2001
Spear, Leeds & Kellogg April 1986 - December 1999
Education
University of Delaware 1982 — 1986
BA, Political Science
Ernst & Young November 2012 - Present
Sica Wealth Management March 2011 - July 2012
Big Blue Trading, LLC November 2007 - March 2010
Chris Christie Inaugural Committee November 2009 - January 2010
Christie For Governor '09 January 2009 - November 2009
Goldman Sachs 1999 - 2003
Spear Leeds & Kellogg A Goldman Sachs Company 1996 - 2001
Spear, Leeds & Kellogg April 1986 - December 1999
Education
University of Delaware 1982 — 1986
BA, Political Science
Beverly Fiorentino Vollaro Beverly Fiorentino Vollaro's Spear, Leeds & Kellogg Experience 1988 - 2000
Job Independent Human Resources Professional
Industry Human Resources
Experience
Goldman Sachs 2000 - 2002
Spear, Leeds & Kellogg 1988 - 2000
Kidder Peabody 1982 - 1988
Skills
Compensation, Recruitment/Retention, Corporate Benefits, Employee Relations, Training Skills, Securities, Project Management, Strategic Planning, Human Resources, Deferred Compensation, Training, Recruiting, Process Improvement, Nonprofits, Budgets, Mergers & Acquisitions, Team Building, Talent Acquisition, Onboarding, Prime Brokerage, Management Consulting, Marketing, Management, Public Speaking
Education
Seton Hall University
M.A., Human Resources Mgmt.
Goldman Sachs 2000 - 2002
Spear, Leeds & Kellogg 1988 - 2000
Kidder Peabody 1982 - 1988
Skills
Compensation, Recruitment/Retention, Corporate Benefits, Employee Relations, Training Skills, Securities, Project Management, Strategic Planning, Human Resources, Deferred Compensation, Training, Recruiting, Process Improvement, Nonprofits, Budgets, Mergers & Acquisitions, Team Building, Talent Acquisition, Onboarding, Prime Brokerage, Management Consulting, Marketing, Management, Public Speaking
Education
Seton Hall University
M.A., Human Resources Mgmt.
Mark Kuper Mark Kuper's Spear, Leeds & Kellogg Experience 1985 - 1995
Job
Industry Investment Management
Experience
Telluride Asset Management LLC August 2002 - January 2015
Knight Trading Group 2000 - 2002
SG Cowen 1998 - 1999
Lek Schoenau & Co. 1996 - 1998
Spear Leeds & Kellogg 1985 - 1995
Skills
Hedge Funds, Alternative Investments, Equities, Trading, Trading Systems, Asset Management, Derivatives, Portfolio Management, Fixed Income, Options, Investments, Commodity, Asset Managment, Investment Management, Capital Markets, Securities, Financial Markets, Series 7, Asset Allocation, Fund Of Funds, Risk Management, Investment Banking, Equity Trading, Financial Modeling, Private Equity, Bloomberg, Equity Derivatives, Hedging, ETFs, Investment Strategies, FX Options, Bonds, Market Risk, Proprietary Trading, Microsoft Office, Cross-functional Team..., Team Building, Due Diligence, Investor Relations, Strategy, Venture Capital, Mergers & Acquisitions, Executive Management, Prime Brokerage, Commodity Markets, Financial Futures, Mutual Funds, Regulatory Compliance, Management
Education
University of Florida 1979 — 1981
BSBA, Finance
Rensselaer Polytechnic Institute 1977 — 1979
Telluride Asset Management LLC August 2002 - January 2015
Knight Trading Group 2000 - 2002
SG Cowen 1998 - 1999
Lek Schoenau & Co. 1996 - 1998
Spear Leeds & Kellogg 1985 - 1995
Skills
Hedge Funds, Alternative Investments, Equities, Trading, Trading Systems, Asset Management, Derivatives, Portfolio Management, Fixed Income, Options, Investments, Commodity, Asset Managment, Investment Management, Capital Markets, Securities, Financial Markets, Series 7, Asset Allocation, Fund Of Funds, Risk Management, Investment Banking, Equity Trading, Financial Modeling, Private Equity, Bloomberg, Equity Derivatives, Hedging, ETFs, Investment Strategies, FX Options, Bonds, Market Risk, Proprietary Trading, Microsoft Office, Cross-functional Team..., Team Building, Due Diligence, Investor Relations, Strategy, Venture Capital, Mergers & Acquisitions, Executive Management, Prime Brokerage, Commodity Markets, Financial Futures, Mutual Funds, Regulatory Compliance, Management
Education
University of Florida 1979 — 1981
BSBA, Finance
Rensselaer Polytechnic Institute 1977 — 1979
Chaz Palmeri Chaz Palmeri's Spear, Leeds & Kellogg Experience January 2001 - January 2003
Job Director of National Operations Control Center at Miax Options Exchange
Industry Investment Banking
Experience
Miami International Holdings January 2012 - Present
Goldman Sachs January 2000 - October 2011
FGCubed 2005 - 2007
Spear Leeds & Kellogg January 2001 - January 2003
Skills
Perl, System Design, Systems Engineering, Mission Assurance, IT architectures, Cost Saving Initiatives, Exchange Connectivity, Deployment, Integration, Series 7, Equities, Electronic Trading, Options, System Architecture, Project Implementation, Technology..., Production Management, Production, Production Support, Scripting, Business Analysis, Unix, IT Management, Linux, Team Leadership, Software Project..., Order Management, Windows, Program Management, IT Strategy, Trading Systems, Project Planning, Strategic Planning, Customer Relations, Solution Design, Disaster Recovery, Process Improvement, Market Data, Change Management, Enterprise Architecture, Systems Analysis, Visio, SharePoint, SQL Server, Databases, Customer Service, Solution Architecture, Derivatives, Low Latency, Operating Systems
Education
City University of New York 1998 — 1999
Bachelor of Science, Computer Science
Rutgers, The State University of New Jersey-New Brunswick 1994 — 1998
Computer Science, Electrical Engineering
Miami International Holdings January 2012 - Present
Goldman Sachs January 2000 - October 2011
FGCubed 2005 - 2007
Spear Leeds & Kellogg January 2001 - January 2003
Skills
Perl, System Design, Systems Engineering, Mission Assurance, IT architectures, Cost Saving Initiatives, Exchange Connectivity, Deployment, Integration, Series 7, Equities, Electronic Trading, Options, System Architecture, Project Implementation, Technology..., Production Management, Production, Production Support, Scripting, Business Analysis, Unix, IT Management, Linux, Team Leadership, Software Project..., Order Management, Windows, Program Management, IT Strategy, Trading Systems, Project Planning, Strategic Planning, Customer Relations, Solution Design, Disaster Recovery, Process Improvement, Market Data, Change Management, Enterprise Architecture, Systems Analysis, Visio, SharePoint, SQL Server, Databases, Customer Service, Solution Architecture, Derivatives, Low Latency, Operating Systems
Education
City University of New York 1998 — 1999
Bachelor of Science, Computer Science
Rutgers, The State University of New Jersey-New Brunswick 1994 — 1998
Computer Science, Electrical Engineering
Deborah Kinzer's Spear, Leeds & Kellogg Experience 1997 - 2000
Job Vice President at Barclays Capital
Industry Financial Services
Experience
Barclays Capital 2011 - Present
Goldman Sachs & Co 2006 - 2011
Goldman Sachs Execution & Clearing 2000 - 2006
Spear Leeds & Kellogg 1997 - 2000
Gruntal & Co 1996 - 1997
Barclays de Zoete Wedd Securities Inc. 1992 - 1996
Education
Baruch College, City University of New York (CUNY)
MBA, Finance
State University of New York College at Oneonta
BA, Business Economics
Barclays Capital 2011 - Present
Goldman Sachs & Co 2006 - 2011
Goldman Sachs Execution & Clearing 2000 - 2006
Spear Leeds & Kellogg 1997 - 2000
Gruntal & Co 1996 - 1997
Barclays de Zoete Wedd Securities Inc. 1992 - 1996
Education
Baruch College, City University of New York (CUNY)
MBA, Finance
State University of New York College at Oneonta
BA, Business Economics
Matt Battistella Matt Battistella's Spear, Leeds & Kellogg Experience January 1993 - January 1996
Job FICC eSales at Bank of America Merrill Lynch
Industry Financial Services
Experience
Bank of America Merrill Lynch September 2014 - Present
Bank of America Merrill Lynch May 2011 - Present
HSBC Securities April 2008 - August 2009
HSBC Securities July 2002 - August 2009
Prescient Securities January 2000 - January 2002
AppOnline January 1999 - January 2000
Credit Suisse First Boston January 1996 - January 1999
Spear Leeds & Kellogg January 1993 - January 1996
US Army & NATO January 1991 - January 1993
Skills
Electronic Trading, MBS, Fixed Income, Money Market, CDS, Trading, Hedge Funds, Rates, Alternative Investments, Financial Markets, Trading Systems, ABS, Portfolio Management, Equities, Asset Management, Investments, Derivatives, Bloomberg, Wealth Management, Business Development, Series 7
Education
Cornell University
B.S, Policy Analysis; Economics & International Relations
Bank of America Merrill Lynch September 2014 - Present
Bank of America Merrill Lynch May 2011 - Present
HSBC Securities April 2008 - August 2009
HSBC Securities July 2002 - August 2009
Prescient Securities January 2000 - January 2002
AppOnline January 1999 - January 2000
Credit Suisse First Boston January 1996 - January 1999
Spear Leeds & Kellogg January 1993 - January 1996
US Army & NATO January 1991 - January 1993
Skills
Electronic Trading, MBS, Fixed Income, Money Market, CDS, Trading, Hedge Funds, Rates, Alternative Investments, Financial Markets, Trading Systems, ABS, Portfolio Management, Equities, Asset Management, Investments, Derivatives, Bloomberg, Wealth Management, Business Development, Series 7
Education
Cornell University
B.S, Policy Analysis; Economics & International Relations
Joe Allegro Joe Allegro's Spear, Leeds & Kellogg Experience January 1996 - January 2001
Job
Industry Capital Markets
Experience
Sitar Insurance Agency March 2012 - Present
Sitar Realty Company April 2011 - Present
Monmouth Investments LLC January 2009 - Present
Goldman Sachs June 2004 - June 2010
NYSE February 1996 - June 2010
Goldman Sachs January 1996 - June 2010
Goldman Sachs April 2001 - June 2004
Spear Leeds & Kellogg January 1996 - January 2001
Skills
Capital Markets, ETFs, Financial Risk, Equities, Series 7, Trading, Investments, Asset Managment, Valuation, Securities, Electronic Trading, Financial Analysis, Equity Trading, Trading Systems, Equity Derivatives, Commodity, Financial Markets, Alternative Investments, Bloomberg, Asset Management, Options, Hedge Funds, Series 63, Portfolio Management, Fixed Income, FINRA, Series 24
Education
Coastal Carolina University 1991 — 1995
BS
Sitar Insurance Agency March 2012 - Present
Sitar Realty Company April 2011 - Present
Monmouth Investments LLC January 2009 - Present
Goldman Sachs June 2004 - June 2010
NYSE February 1996 - June 2010
Goldman Sachs January 1996 - June 2010
Goldman Sachs April 2001 - June 2004
Spear Leeds & Kellogg January 1996 - January 2001
Skills
Capital Markets, ETFs, Financial Risk, Equities, Series 7, Trading, Investments, Asset Managment, Valuation, Securities, Electronic Trading, Financial Analysis, Equity Trading, Trading Systems, Equity Derivatives, Commodity, Financial Markets, Alternative Investments, Bloomberg, Asset Management, Options, Hedge Funds, Series 63, Portfolio Management, Fixed Income, FINRA, Series 24
Education
Coastal Carolina University 1991 — 1995
BS
Andrew Forman Andrew Forman's Spear, Leeds & Kellogg Experience March 1997 - December 2001
Job Comptroller at Town Of Beekman
Industry Education Management
Experience
Town Of Beekman January 2014 - Present
Kiwanis Club of Beacon Fishkill 2002 - Present
Dutchess County Board of Elections April 2011 - January 2014
Mid-Hudson Regional Information Center August 2008 - October 2010
UBS Investment Bank March 2007 - May 2008
Goldman Sachs January 2001 - February 2004
Spear, Leeds & Kellogg March 1997 - December 2001
Skills
CRM, Financial Services, Microsoft Excel, Hedge Funds, Strategic Planning, Electronic Trading, Prime Brokerage, Customer Service, Equities, Fixed Income, Series 7, Client Services, Microsoft Office, Options, Public Speaking, Series 63, Team Building, Derivatives, Insurance, Policy, Securities, Budgets
Education
Marist College 2006 — 2010
Master of Public Administration
Marist College 1988 — 1992
BS, Business Management - Finance
Our Lady of Lourdes HS 1982 — 1986
Town Of Beekman January 2014 - Present
Kiwanis Club of Beacon Fishkill 2002 - Present
Dutchess County Board of Elections April 2011 - January 2014
Mid-Hudson Regional Information Center August 2008 - October 2010
UBS Investment Bank March 2007 - May 2008
Goldman Sachs January 2001 - February 2004
Spear, Leeds & Kellogg March 1997 - December 2001
Skills
CRM, Financial Services, Microsoft Excel, Hedge Funds, Strategic Planning, Electronic Trading, Prime Brokerage, Customer Service, Equities, Fixed Income, Series 7, Client Services, Microsoft Office, Options, Public Speaking, Series 63, Team Building, Derivatives, Insurance, Policy, Securities, Budgets
Education
Marist College 2006 — 2010
Master of Public Administration
Marist College 1988 — 1992
BS, Business Management - Finance
Our Lady of Lourdes HS 1982 — 1986
Steven Taplits Steven Taplits's Spear, Leeds & Kellogg Experience November 1978 - April 1983
Job Vice President Tax at Bed Bath & Beyond
Industry Retail
Experience
Bed Bath & Beyond October 2010 - Present
Barnwell & Company February 2010 - September 2010
Home Depot May 2003 - August 2008
Toys R Us April 1983 - April 2003
Spear, Leeds & Kellogg November 1978 - April 1983
Lucas, Tucker & Co. September 1976 - October 1978
Skills
Mergers, Tax Advisory, Tax, Financial Reporting, GAAP, Account Reconciliation, Accounting, Mergers & Acquisitions, Tax Returns, SEC filings, Auditing, Transfer Pricing, Strategy, Investments, Corporate Tax, Income Tax, International Tax, Strategic Planning, Budgets
Education
New York University School of Law 1981 — 1985
LLM Taxation, Tax
Brooklyn Law School 1976 — 1980
JD, Law
City University of New York-Brooklyn College 1972 — 1976
BS, Accounting and Economics
Bed Bath & Beyond October 2010 - Present
Barnwell & Company February 2010 - September 2010
Home Depot May 2003 - August 2008
Toys R Us April 1983 - April 2003
Spear, Leeds & Kellogg November 1978 - April 1983
Lucas, Tucker & Co. September 1976 - October 1978
Skills
Mergers, Tax Advisory, Tax, Financial Reporting, GAAP, Account Reconciliation, Accounting, Mergers & Acquisitions, Tax Returns, SEC filings, Auditing, Transfer Pricing, Strategy, Investments, Corporate Tax, Income Tax, International Tax, Strategic Planning, Budgets
Education
New York University School of Law 1981 — 1985
LLM Taxation, Tax
Brooklyn Law School 1976 — 1980
JD, Law
City University of New York-Brooklyn College 1972 — 1976
BS, Accounting and Economics
Nicholas DeSantis, PMP, CSM Nicholas DeSantis, PMP, CSM's Spear, Leeds & Kellogg Experience 1997 - 2000
Job V.P. Application Services/Venue Connectivity at Deutsche Bank
Industry Information Technology and Services
Experience
Deutsche Bank March 2010 - Present
Goldman Sachs 2000 - 2009
Spear, Leeds & Kellogg 1997 - 2000
Skills
Project Management, People Skills, Electronic Trading, Exchange Connectivity, Vendor Relationships, Equities, Equity Derivatives, FIX, Unix, Shell Scripting, Java
Education
Adelphi University 1979 — 1984
BS, Biology
Deutsche Bank March 2010 - Present
Goldman Sachs 2000 - 2009
Spear, Leeds & Kellogg 1997 - 2000
Skills
Project Management, People Skills, Electronic Trading, Exchange Connectivity, Vendor Relationships, Equities, Equity Derivatives, FIX, Unix, Shell Scripting, Java
Education
Adelphi University 1979 — 1984
BS, Biology
Ben Grossman Ben Grossman's Spear, Leeds & Kellogg Experience 1998 - 2003
Job Principal, Ben Grossman LLC
Industry Information Technology and Services
Experience
Ben Grossman LLC 2002 - Present
Viacom 2005 - 2007
New York Board of Trade 2002 - 2004
Spear Leeds & Kellogg 1998 - 2003
Goldman Sachs / Spear, Leeds and Kellogg 1998 - 2002
Skills
Unix, Virtualization, AIX, SAN, Linux, Security, Shell Scripting, Perl, Disaster Recovery, Storage, aix security, IBM PowerSC, aixpert, AIX TNC Patch Management, AIX Administration, Enterprise Architecture, Enterprise Software, Hardware, IBM AIX, Infrastructure, Operating Systems, Performance Tuning, Scripting, Troubleshooting, pSeries
Education
LIU Post 1985 — 1989
B.S., Computer Science
Ben Grossman LLC 2002 - Present
Viacom 2005 - 2007
New York Board of Trade 2002 - 2004
Spear Leeds & Kellogg 1998 - 2003
Goldman Sachs / Spear, Leeds and Kellogg 1998 - 2002
Skills
Unix, Virtualization, AIX, SAN, Linux, Security, Shell Scripting, Perl, Disaster Recovery, Storage, aix security, IBM PowerSC, aixpert, AIX TNC Patch Management, AIX Administration, Enterprise Architecture, Enterprise Software, Hardware, IBM AIX, Infrastructure, Operating Systems, Performance Tuning, Scripting, Troubleshooting, pSeries
Education
LIU Post 1985 — 1989
B.S., Computer Science
David Palmer's Spear, Leeds & Kellogg Experience January 1989 - September 1991
Job Special Situations at Redwood Partners II LLC
Industry Capital Markets
Experience
Redwood Partners II LLC September 2014 - Present
Namaste Oasis 2011 - Present
Hudson Bay Capital January 2007 - May 2014
TANSTAAFL Research & Trading LLC September 1992 - January 2007
GBI Securities Inc September 1991 - September 1992
Spear, Leeds & Kellogg January 1989 - September 1991
Skills
Options, Trading, Derivatives, Equities, Hedge Funds, Proprietary Trading, Electronic Trading, Trading Systems, Financial Markets, Fixed Income, Portfolio Management, Capital Markets, Bloomberg, ETFs, Equity Trading, Financial Risk, Structured Products, Series 7, FX Options, Risk Management, Equity Derivatives, Volatility, Investments, Bonds, Hedging, Commodity, Securities, Structured Finance, Emerging Markets, Alternative Investments, Technical Analysis, Currency, Asset Management, Management, Valuation, Financial Modeling, Trading Strategies
Education
New York University 1988 — 1992
Finance
Redwood Partners II LLC September 2014 - Present
Namaste Oasis 2011 - Present
Hudson Bay Capital January 2007 - May 2014
TANSTAAFL Research & Trading LLC September 1992 - January 2007
GBI Securities Inc September 1991 - September 1992
Spear, Leeds & Kellogg January 1989 - September 1991
Skills
Options, Trading, Derivatives, Equities, Hedge Funds, Proprietary Trading, Electronic Trading, Trading Systems, Financial Markets, Fixed Income, Portfolio Management, Capital Markets, Bloomberg, ETFs, Equity Trading, Financial Risk, Structured Products, Series 7, FX Options, Risk Management, Equity Derivatives, Volatility, Investments, Bonds, Hedging, Commodity, Securities, Structured Finance, Emerging Markets, Alternative Investments, Technical Analysis, Currency, Asset Management, Management, Valuation, Financial Modeling, Trading Strategies
Education
New York University 1988 — 1992
Finance
Lisa (Mackey) Muehlfelt CPA Lisa (Mackey) Muehlfelt CPA's Spear, Leeds & Kellogg Experience October 1987 - December 2000
Job FINOP at Cognitive Capital, LLC
Industry Accounting
Experience
Cognitive Capital, LLC January 2014 - Present
Goldman Sachs, Operations Division 2010 - January 2014
Goldman Sachs, Equities Division 2006 - 2010
Goldman Sachs, Equities Division 2002 - 2006
Goldman Sachs, Equities Division 2000 - 2002
Spear Leeds & Kellogg October 1987 - December 2000
Skills
Derivatives, Prime Brokerage, Hedge Funds, Electronic Trading, Capital Markets, Trading, Bloomberg, Trading Systems, Finance, Financial Analysis, Financial Markets, Commodity, Alternative Investments, Middle Office, Equity Derivatives, Options, Fixed Income, Securities, Financial Services, Series 7, Equity Trading, FINRA, Series 63, Investment Banking, Equities, Credit Derivatives, Proprietary Trading, Market Data, Trading Strategies, Swaps, ETFs, Securities Lending, FX Options, Hedging, Settlement, Bonds, Back Office, Currency, Fund Of Funds, Structured Products, Interest Rate..., Market Risk, Corporate Actions, Asset Management, Equity Research, Foreign Exchange
Education
Illinois State University 1981 — 1985
Accounting, CPA, Business
Cognitive Capital, LLC January 2014 - Present
Goldman Sachs, Operations Division 2010 - January 2014
Goldman Sachs, Equities Division 2006 - 2010
Goldman Sachs, Equities Division 2002 - 2006
Goldman Sachs, Equities Division 2000 - 2002
Spear Leeds & Kellogg October 1987 - December 2000
Skills
Derivatives, Prime Brokerage, Hedge Funds, Electronic Trading, Capital Markets, Trading, Bloomberg, Trading Systems, Finance, Financial Analysis, Financial Markets, Commodity, Alternative Investments, Middle Office, Equity Derivatives, Options, Fixed Income, Securities, Financial Services, Series 7, Equity Trading, FINRA, Series 63, Investment Banking, Equities, Credit Derivatives, Proprietary Trading, Market Data, Trading Strategies, Swaps, ETFs, Securities Lending, FX Options, Hedging, Settlement, Bonds, Back Office, Currency, Fund Of Funds, Structured Products, Interest Rate..., Market Risk, Corporate Actions, Asset Management, Equity Research, Foreign Exchange
Education
Illinois State University 1981 — 1985
Accounting, CPA, Business
James Meyers James Meyers's Spear, Leeds & Kellogg Experience March 1994 - November 2000
Job Vice President Corporate Bond Trading at Maxim Group
Industry Financial Services
Experience
Maxim Group August 2013 - Present
Wall Street Access 2008 - 2012
FTN Financial January 2005 - August 2008
Goldman Sachs December 2000 - December 2004
Spear, Leeds & Kellogg March 1994 - November 2000
Skills
Series 7, Series 63, Fixed Income, Trading, Sales, Bonds, Capital Markets, Options, Investments, Securities, Hedge Funds, Electronic Trading, FINRA, Equities, Bloomberg, Investment Strategies, Derivatives, Trading Systems, Alternative Investments
Education
Cornell University 1990 — 1993
Bachelor of Science (BS), Applied Economics and Management
Lynbrook High School 1986 — 1989
Maxim Group August 2013 - Present
Wall Street Access 2008 - 2012
FTN Financial January 2005 - August 2008
Goldman Sachs December 2000 - December 2004
Spear, Leeds & Kellogg March 1994 - November 2000
Skills
Series 7, Series 63, Fixed Income, Trading, Sales, Bonds, Capital Markets, Options, Investments, Securities, Hedge Funds, Electronic Trading, FINRA, Equities, Bloomberg, Investment Strategies, Derivatives, Trading Systems, Alternative Investments
Education
Cornell University 1990 — 1993
Bachelor of Science (BS), Applied Economics and Management
Lynbrook High School 1986 — 1989
Kenneth Swan, Jr. Kenneth Swan, Jr.'s Spear, Leeds & Kellogg Experience January 1993 - March 2008
Job SIMPLE IRA Sales Support Specialist Team Lead at ADP, Inc.
Industry Financial Services
Experience
ADP September 2012 - Present
PESH Medical Equipment, LLC November 2011 - September 2012
Ricoh Business Solutions April 2011 - October 2011
Langdon Ford Financial April 2009 - April 2011
E & L Capital April 2008 - March 2009
Spear, Leeds & Kellogg January 1993 - March 2008
Goldman Sachs January 1993 - March 2008
Skills
Series 7, Securities, Equities, Trading, Investments, Equity Trading, Electronic Trading, Options, Asset Managment, ETFs, Portfolio Management, Wealth Management, Strategic Financial..., Financial Markets, Trading Systems, Fixed Income
Education
Centenary College 2014 — 2017
Bachelor of Business Administration (B.B.A.)
Mansfield University of Pennsylvania 1987 — 1990
Columbia High School 1982 — 1986
ADP September 2012 - Present
PESH Medical Equipment, LLC November 2011 - September 2012
Ricoh Business Solutions April 2011 - October 2011
Langdon Ford Financial April 2009 - April 2011
E & L Capital April 2008 - March 2009
Spear, Leeds & Kellogg January 1993 - March 2008
Goldman Sachs January 1993 - March 2008
Skills
Series 7, Securities, Equities, Trading, Investments, Equity Trading, Electronic Trading, Options, Asset Managment, ETFs, Portfolio Management, Wealth Management, Strategic Financial..., Financial Markets, Trading Systems, Fixed Income
Education
Centenary College 2014 — 2017
Bachelor of Business Administration (B.B.A.)
Mansfield University of Pennsylvania 1987 — 1990
Columbia High School 1982 — 1986
E. Todd Dick E. Todd Dick's Spear, Leeds & Kellogg Experience January 1998 - January 2000
Job Assistant Controller
Industry Hospitality
Experience
The Newport Beachside Hotel & Resort November 2009 - February 2011
JW Marriott July 2007 - November 2009
Ypsilanti Marriott January 2006 - June 2007
Loyola University of Chicago January 2000 - January 2005
Spear, Leeds & Kellogg January 1998 - January 2000
GFX Corp January 1995 - January 1998
Skills
Budgets, Financial Reporting, Hospitality, Financial Analysis, Accounting, Forecasting, Payroll
Education
Eastern Michigan University
BBA, Language and World Business; Finance and Spanish
The Newport Beachside Hotel & Resort November 2009 - February 2011
JW Marriott July 2007 - November 2009
Ypsilanti Marriott January 2006 - June 2007
Loyola University of Chicago January 2000 - January 2005
Spear, Leeds & Kellogg January 1998 - January 2000
GFX Corp January 1995 - January 1998
Skills
Budgets, Financial Reporting, Hospitality, Financial Analysis, Accounting, Forecasting, Payroll
Education
Eastern Michigan University
BBA, Language and World Business; Finance and Spanish
Tara Balabushka Tara Balabushka's Spear, Leeds & Kellogg Experience July 2000 - November 2001
Job Senior Associate
Industry Financial Services
Experience
HighTower Advisors August 2010 - Present
UBS November 2001 - August 2010
Spear Leeds & kellogg July 2000 - November 2001
Skills
CERTIFICATION : ...
Education
Fordham University - Graduate School of Business Administration 2003 — 2008
MBA, Finance & Accounting Concentration
Villanova University 1996 — 2000
Bachelor of Science in Business Administration, Finance and Japanese
Townsend Harris H.S. at Queens College 1992 — 1996
Regents Diploma, Liberal Arts & Japanese
HighTower Advisors August 2010 - Present
UBS November 2001 - August 2010
Spear Leeds & kellogg July 2000 - November 2001
Skills
CERTIFICATION : ...
Education
Fordham University - Graduate School of Business Administration 2003 — 2008
MBA, Finance & Accounting Concentration
Villanova University 1996 — 2000
Bachelor of Science in Business Administration, Finance and Japanese
Townsend Harris H.S. at Queens College 1992 — 1996
Regents Diploma, Liberal Arts & Japanese
Andrew Lenza Andrew Lenza's Spear, Leeds & Kellogg Experience July 1986 - December 1998
Job Real Estate Investor & Property Manager
Industry Real Estate
Experience
Coldwell Banker Residential Brokerage July 2010 - Present
Weichert Realtors September 2009 - July 2010
Spear, Leeds & Kellogg July 1986 - December 1998
Troster Singer Corp. 1986 - 1994
Skills
Creative Writing, Motorcycle, Gardening, Freehold, Real Estate, Sellers, First Time Home Buyers, Short Sales, Single Family Homes, Investment Properties, Foreclosures, Residential Homes, Relocation, Referrals, Buyer Representation, Real Estate Transactions, Rentals, Buyers, Condos, Luxury, Listings, Investors, Townhomes
Education
Fordham University - Graduate School of Business Administration 1990 — 1994
MBA, Finance
Bowling Green State University 1984 — 1986
M.A., English
Saint Peter's University 1980 — 1984
B.A., English
Coldwell Banker Residential Brokerage July 2010 - Present
Weichert Realtors September 2009 - July 2010
Spear, Leeds & Kellogg July 1986 - December 1998
Troster Singer Corp. 1986 - 1994
Skills
Creative Writing, Motorcycle, Gardening, Freehold, Real Estate, Sellers, First Time Home Buyers, Short Sales, Single Family Homes, Investment Properties, Foreclosures, Residential Homes, Relocation, Referrals, Buyer Representation, Real Estate Transactions, Rentals, Buyers, Condos, Luxury, Listings, Investors, Townhomes
Education
Fordham University - Graduate School of Business Administration 1990 — 1994
MBA, Finance
Bowling Green State University 1984 — 1986
M.A., English
Saint Peter's University 1980 — 1984
B.A., English
John Droggitis John Droggitis's Spear, Leeds & Kellogg Experience 1998 - 2000
Job Managing Director, Asset Servicing Technology at BNY Mellon
Industry Capital Markets
Experience
BNY Mellon August 2012 - Present
eDeriv Technologies July 2011 - July 2012
Goldman Sachs January 2000 - July 2011
Spear, Leeds & Kellogg 1998 - 2000
TLW Securities, LLC/Goldman Sachs 1995 - 1999
Telcordia Technologies December 1991 - May 1995
Skills
Full SDLC, Software Project..., Team Building, Team Leadership, System Architecture, High Performance..., Software Engineering, C++, Java, Sybase ASE, Linux, Equity Trading, Low Latency, Equities, RediPlus, Global Management, Financial Services, Financial Markets, IT Executive Management, IT Strategy, Process Integration, Middle Office, Electronic Trading, Integration, Project Management, Sybase, Hedge Funds, CRM, Distributed Systems, Trading Systems, SOA, Capital Markets, Market Data, SDLC, Trading, Equity Derivatives, Cloud Computing
Education
Carnegie Mellon University 1990 — 1991
MS, Information Networking
Queens College 1987 — 1991
BA, Computer Science, Economics
BNY Mellon August 2012 - Present
eDeriv Technologies July 2011 - July 2012
Goldman Sachs January 2000 - July 2011
Spear, Leeds & Kellogg 1998 - 2000
TLW Securities, LLC/Goldman Sachs 1995 - 1999
Telcordia Technologies December 1991 - May 1995
Skills
Full SDLC, Software Project..., Team Building, Team Leadership, System Architecture, High Performance..., Software Engineering, C++, Java, Sybase ASE, Linux, Equity Trading, Low Latency, Equities, RediPlus, Global Management, Financial Services, Financial Markets, IT Executive Management, IT Strategy, Process Integration, Middle Office, Electronic Trading, Integration, Project Management, Sybase, Hedge Funds, CRM, Distributed Systems, Trading Systems, SOA, Capital Markets, Market Data, SDLC, Trading, Equity Derivatives, Cloud Computing
Education
Carnegie Mellon University 1990 — 1991
MS, Information Networking
Queens College 1987 — 1991
BA, Computer Science, Economics
David Jastremski David Jastremski's Spear, Leeds & Kellogg Experience October 1992 - March 1995
Job Telecommunications & Network Engineer Consutlant
Industry Telecommunications
Experience
Consultant June 2010 - Present
Windstream Communications December 2009 - June 2010
Integrated Project Services September 2008 - October 2009
AT&T October 2006 - March 2008
WebUnited September 2006 - October 2006
New York City Department of Information Technology and Telecommunications July 2000 - March 2002
New York City Transit Authority/ Network Communications March 1995 - June 2000
Spear Leeds & Kellogg October 1992 - March 1995
Manufacturers Hanover Trust/Retail March 1990 - September 1992
Skills
Telecommunications, VoIP, Unified Communications, Troubleshooting, Data Center
Education
DeVry University 1988 — 1990
AS, Electronics Technology
Academy of South Florida
Consultant June 2010 - Present
Windstream Communications December 2009 - June 2010
Integrated Project Services September 2008 - October 2009
AT&T October 2006 - March 2008
WebUnited September 2006 - October 2006
New York City Department of Information Technology and Telecommunications July 2000 - March 2002
New York City Transit Authority/ Network Communications March 1995 - June 2000
Spear Leeds & Kellogg October 1992 - March 1995
Manufacturers Hanover Trust/Retail March 1990 - September 1992
Skills
Telecommunications, VoIP, Unified Communications, Troubleshooting, Data Center
Education
DeVry University 1988 — 1990
AS, Electronics Technology
Academy of South Florida
Jay Knopf's Spear, Leeds & Kellogg Experience 1981 - 2000
Job Senior Director at Maxim Group
Industry Financial Services
Experience
Maxim Group 2013 - Present
Cowen and Company 2011 - 2012
Newedge 2010 - 2011
Goldman Sachs 2000 - 2010
Spear, Leeds & Kellogg 1981 - 2000
Skills
Trading Systems, Electronic Trading, Options, Equity Derivatives, Derivatives, Trading, Bloomberg, Series 7, Trading Strategies, Traders, Financial Markets, Securities, Series 63, Equities, Financial Modeling, ETFs, FX trading, Portfolio Management, Asset Management, Prime Brokerage, Middle Office, Hedge Funds, Volatility, Equity Trading, Investments, FX Options, Bonds, Alternative Investments, FINRA, Market Data, Back Office, Capital Markets, Private Equity, Proprietary Trading, Fixed Income, Commodity, Technical Analysis, Emerging Markets, Currency, Series 24, Hedging, Mutual Funds, Valuation
Education
Babson College 1976 — 1979
BS, Business Administration
Maxim Group 2013 - Present
Cowen and Company 2011 - 2012
Newedge 2010 - 2011
Goldman Sachs 2000 - 2010
Spear, Leeds & Kellogg 1981 - 2000
Skills
Trading Systems, Electronic Trading, Options, Equity Derivatives, Derivatives, Trading, Bloomberg, Series 7, Trading Strategies, Traders, Financial Markets, Securities, Series 63, Equities, Financial Modeling, ETFs, FX trading, Portfolio Management, Asset Management, Prime Brokerage, Middle Office, Hedge Funds, Volatility, Equity Trading, Investments, FX Options, Bonds, Alternative Investments, FINRA, Market Data, Back Office, Capital Markets, Private Equity, Proprietary Trading, Fixed Income, Commodity, Technical Analysis, Emerging Markets, Currency, Series 24, Hedging, Mutual Funds, Valuation
Education
Babson College 1976 — 1979
BS, Business Administration
Ralph Fogel Ralph Fogel's Spear, Leeds & Kellogg Experience 1967 - 1991
Job Partner at Fogel Neale Partners LLC.
Industry Financial Services
Experience
Fogel Neale Partners LLC. March 2009 - Present
Spear Leeds & Kellogg 1967 - 1991
Skills
Commodity, Qualified Retirement..., Derivatives, Trading, Equities, Asset Managment, ETFs, Fixed Income, REIT, Trading Strategies, Asset Management, Due Diligence, Fund Of Funds, Capital Markets, Emerging Markets, Alternative Investments, Valuation, FINRA, Investments, Equity Research, Portfolio Management, Hedge Funds, FX Options, Wealth Management, Finance, Asset Allocation, FX trading, Hedging, Private Equity, Prime Brokerage, Strategic Financial..., Bonds, Risk Management, Financial Markets, Financial Planning, Securities, Options, Series 7, Electronic Trading
Education
City University of New York City College
BA, Economics, 4.0 in Economics
Fogel Neale Partners LLC. March 2009 - Present
Spear Leeds & Kellogg 1967 - 1991
Skills
Commodity, Qualified Retirement..., Derivatives, Trading, Equities, Asset Managment, ETFs, Fixed Income, REIT, Trading Strategies, Asset Management, Due Diligence, Fund Of Funds, Capital Markets, Emerging Markets, Alternative Investments, Valuation, FINRA, Investments, Equity Research, Portfolio Management, Hedge Funds, FX Options, Wealth Management, Finance, Asset Allocation, FX trading, Hedging, Private Equity, Prime Brokerage, Strategic Financial..., Bonds, Risk Management, Financial Markets, Financial Planning, Securities, Options, Series 7, Electronic Trading
Education
City University of New York City College
BA, Economics, 4.0 in Economics
Al Carroccia Al Carroccia's Spear, Leeds & Kellogg Experience August 1994 - February 1998
Job VP Acquisitions / Market Research at Synergy Star Realty
Industry Real Estate
Experience
Knight Capital America LLC August 2010 - January 2013
AC MBS Inc. September 2008 - August 2010
Chase Bank August 2007 - September 2008
North Shore Financial Group June 2005 - August 2007
Morgan Stanley January 2007 - July 2007
Interactive Data Corp. March 1998 - May 2005
Spear, Leeds & Kellogg August 1994 - February 1998
Gruntal & Co. September 1993 - July 1994
UBS Securities January 1986 - September 1993
Paine Webber Real Estate Securities February 1982 - January 1986
Skills
Trading, MBS, Fixed Income, Bloomberg, Operations Control, Securities, Bonds
Education
New York University 1985 — 1986
Administrative Office Management
State University of New York College of Agriculture and Technology at Cobleskill 1976 — 1977
AAS, Business Administration / Accounting
Knight Capital America LLC August 2010 - January 2013
AC MBS Inc. September 2008 - August 2010
Chase Bank August 2007 - September 2008
North Shore Financial Group June 2005 - August 2007
Morgan Stanley January 2007 - July 2007
Interactive Data Corp. March 1998 - May 2005
Spear, Leeds & Kellogg August 1994 - February 1998
Gruntal & Co. September 1993 - July 1994
UBS Securities January 1986 - September 1993
Paine Webber Real Estate Securities February 1982 - January 1986
Skills
Trading, MBS, Fixed Income, Bloomberg, Operations Control, Securities, Bonds
Education
New York University 1985 — 1986
Administrative Office Management
State University of New York College of Agriculture and Technology at Cobleskill 1976 — 1977
AAS, Business Administration / Accounting
Stephen J Burnett Stephen J Burnett's Spear, Leeds & Kellogg Experience 1994 - 1997
Job Relationship Banker, Small Business Specialist
Industry Financial Services
Experience
Solaire Generation Inc July 2010 - October 2010
First Empire Securities October 2008 - June 2009
GAM Options, Inc. July 2008 - August 2008
SunTrust Robinson Humphrey April 2006 - January 2008
J.M. Duryea, Inc. 1998 - 2006
Spear Leeds & Kellogg 1994 - 1997
Education
The Levin Institute 2010 — 2010
JumpStart NYC 4.0
Duquesne University
BA, Economics
Solaire Generation Inc July 2010 - October 2010
First Empire Securities October 2008 - June 2009
GAM Options, Inc. July 2008 - August 2008
SunTrust Robinson Humphrey April 2006 - January 2008
J.M. Duryea, Inc. 1998 - 2006
Spear Leeds & Kellogg 1994 - 1997
Education
The Levin Institute 2010 — 2010
JumpStart NYC 4.0
Duquesne University
BA, Economics
Daniel Fitzhenry Daniel Fitzhenry's Spear, Leeds & Kellogg Experience March 1995 - November 1999
Job Fixed Income Sales at BNY Mellon
Industry Financial Services
Experience
Brownstone Investment Group May 2015 - Present
BNY Mellon January 2008 - May 2015
First Tennessee Bank January 2003 - December 2007
Goldman Sachs December 1999 - December 2002
Spear, Leeds & Kellogg March 1995 - November 1999
Skills
Government Agencies, Corporate Bonds, US Treasuries, MBS, Municipal Bonds, Corporates, Fixed Income, Bonds, Bloomberg
Education
University of Scranton 1988 — 1991
Economics/Finance
St. Peters Prep 1984 — 1987
High School
Brownstone Investment Group May 2015 - Present
BNY Mellon January 2008 - May 2015
First Tennessee Bank January 2003 - December 2007
Goldman Sachs December 1999 - December 2002
Spear, Leeds & Kellogg March 1995 - November 1999
Skills
Government Agencies, Corporate Bonds, US Treasuries, MBS, Municipal Bonds, Corporates, Fixed Income, Bonds, Bloomberg
Education
University of Scranton 1988 — 1991
Economics/Finance
St. Peters Prep 1984 — 1987
High School
David J. Rudnet David J. Rudnet's Spear, Leeds & Kellogg Experience September 1996 - September 1998
Job President, Institutional Relationship Manager & A.I. Thirdparty marketing services at Executrader Consultants, Inc
Industry Financial Services
Experience
Executrader Consultants, Inc. October 1998 - Present
US Foods September 2012 - March 2013
SME Investor Group Pte Limited November 2011 - September 2012
Peachtree Settlement Funding May 2008 - May 2011
JOE FEARNLEY REAL ESTATE March 1991 - March 2008
SUMMIT CAPITAL LENDING June 2005 - January 2008
WCS Lending January 2005 - May 2005
Aradir Corporation January 2000 - July 2001
Spear, Leeds & Kellogg September 1996 - September 1998
UBS PAINEWEBBER INCORPORATED Investment Executive September 1995 - September 1996
Skills
Investments, Portfolio Management, Alternative Investments, Hedge Funds, Equities, Logistics Management, Food Distribution, Structured Finance, Life Settlements, Asset Managment, Trading, Private Equity, Financial Modeling, Asset Management, Finance, Securities, Mergers & Acquisitions, Capital Markets, Investor Relations, Financial Services, Start-ups, Options, Corporate Finance, Forecasting, Mutual Funds, Loans, Due Diligence, Financial Markets, Derivatives, Business Development, Structured Products, Asset Allocation, Strategic Financial..., Strategy, Valuation
Education
The George Washington University - School of Business 1986 — 1987
MBA, Advanced Financial Management
The George Washington University - School of Business 1982 — 1986
BBA, Finance
Executrader Consultants, Inc. October 1998 - Present
US Foods September 2012 - March 2013
SME Investor Group Pte Limited November 2011 - September 2012
Peachtree Settlement Funding May 2008 - May 2011
JOE FEARNLEY REAL ESTATE March 1991 - March 2008
SUMMIT CAPITAL LENDING June 2005 - January 2008
WCS Lending January 2005 - May 2005
Aradir Corporation January 2000 - July 2001
Spear, Leeds & Kellogg September 1996 - September 1998
UBS PAINEWEBBER INCORPORATED Investment Executive September 1995 - September 1996
Skills
Investments, Portfolio Management, Alternative Investments, Hedge Funds, Equities, Logistics Management, Food Distribution, Structured Finance, Life Settlements, Asset Managment, Trading, Private Equity, Financial Modeling, Asset Management, Finance, Securities, Mergers & Acquisitions, Capital Markets, Investor Relations, Financial Services, Start-ups, Options, Corporate Finance, Forecasting, Mutual Funds, Loans, Due Diligence, Financial Markets, Derivatives, Business Development, Structured Products, Asset Allocation, Strategic Financial..., Strategy, Valuation
Education
The George Washington University - School of Business 1986 — 1987
MBA, Advanced Financial Management
The George Washington University - School of Business 1982 — 1986
BBA, Finance
John Zora John Zora's Spear, Leeds & Kellogg Experience April 2000 - December 2001
Job Vice President/Corporate Banking/Trading Products
Industry Banking
Experience
Bank of Montreal July 2010 - Present
ING July 2005 - July 2010
GFI Group April 2004 - July 2005
UBS February 2002 - April 2004
Spear, Leeds & Kellogg April 2000 - December 2001
CIT July 1998 - March 2000
Skills
Derivatives, Series 7, Fixed Income, Credit, Banking, Credit Risk, Trading, Financial Risk, Portfolio Management, Investments, Finance, Hedge Funds, Capital Markets
Education
Syracuse University 1994 — 1998
Double Major, Finance & Marketing
Bank of Montreal July 2010 - Present
ING July 2005 - July 2010
GFI Group April 2004 - July 2005
UBS February 2002 - April 2004
Spear, Leeds & Kellogg April 2000 - December 2001
CIT July 1998 - March 2000
Skills
Derivatives, Series 7, Fixed Income, Credit, Banking, Credit Risk, Trading, Financial Risk, Portfolio Management, Investments, Finance, Hedge Funds, Capital Markets
Education
Syracuse University 1994 — 1998
Double Major, Finance & Marketing
Tom Killean Tom Killean's Spear, Leeds & Kellogg Experience August 1998 - April 2004
Job Execution Consultant at Bloomberg LP
Industry Financial Services
Experience
Bloomberg LP September 2015 - Present
Citigroup September 2006 - July 2015
Goldman Sachs 2002 - March 2006
Spear, Leeds & Kellogg August 1998 - April 2004
Skills
Trading Systems, Electronic Trading, Funding, Hedge Funds, Equities, Equity Derivatives, Derivatives, Securities, Capital Markets, Prime Brokerage, Options, Fixed Income, Series 7, Alternative Investments, Trading, Investment Banking, Bloomberg, Equity Trading
Education
Lehigh University 1993 — 1997
Bachelor of Science (B.S.), Industrial Engineering
Lehigh Universty 1993 — 1997
BS, Industrial Engineering
Bloomberg LP September 2015 - Present
Citigroup September 2006 - July 2015
Goldman Sachs 2002 - March 2006
Spear, Leeds & Kellogg August 1998 - April 2004
Skills
Trading Systems, Electronic Trading, Funding, Hedge Funds, Equities, Equity Derivatives, Derivatives, Securities, Capital Markets, Prime Brokerage, Options, Fixed Income, Series 7, Alternative Investments, Trading, Investment Banking, Bloomberg, Equity Trading
Education
Lehigh University 1993 — 1997
Bachelor of Science (B.S.), Industrial Engineering
Lehigh Universty 1993 — 1997
BS, Industrial Engineering
Mark Bellias Mark Bellias's Spear, Leeds & Kellogg Experience 1997 - 1997
Job Director of Operations at Symphony Asset Management
Industry Investment Management
Experience
Symphony Asset Management June 2009 - Present
Symphony Asset Management June 2005 - June 2009
Barclays Global Investors 2001 - 2004
Barclays Global Investors 1999 - 2001
Brown Brothers Harriman 1998 - 1998
Spear Leeds & Kellogg 1997 - 1997
Skills
Hedge Funds, Asset Management, Alternative Investments, Equities, Fixed Income, Investments, Securities, Mutual Funds, Derivatives, Bonds, Valuation, Due Diligence, Series 7, Prime Brokerage, Middle Office, Trading Systems, Loans
Education
Bryant University 1995 — 1999
Bachelor's degree, Finance & Computer Information Systems
Symphony Asset Management June 2009 - Present
Symphony Asset Management June 2005 - June 2009
Barclays Global Investors 2001 - 2004
Barclays Global Investors 1999 - 2001
Brown Brothers Harriman 1998 - 1998
Spear Leeds & Kellogg 1997 - 1997
Skills
Hedge Funds, Asset Management, Alternative Investments, Equities, Fixed Income, Investments, Securities, Mutual Funds, Derivatives, Bonds, Valuation, Due Diligence, Series 7, Prime Brokerage, Middle Office, Trading Systems, Loans
Education
Bryant University 1995 — 1999
Bachelor's degree, Finance & Computer Information Systems
Robert Smith's Spear, Leeds & Kellogg Experience August 2000 - December 2007
Job President at Omega Technology Solutions
Industry Information Technology and Services
Experience
Omega Tech Staffing January 2011 - Present
Pinnacle Peak Capital January 2008 - December 2010
SPEAR, LEEDS & KELLOGG August 2000 - December 2007
Skills
CRM, Vendor Management, Account Management, Project Management, Process Improvement, Business Analysis, SaaS, Call Centers, Program Management, Management, Salesforce.com, Team Leadership, Healthcare Information..., EHR, HIPAA
Education
Georgetown University 1996 — 2000
Bachelor's Degree, Resource Economics
Omega Tech Staffing January 2011 - Present
Pinnacle Peak Capital January 2008 - December 2010
SPEAR, LEEDS & KELLOGG August 2000 - December 2007
Skills
CRM, Vendor Management, Account Management, Project Management, Process Improvement, Business Analysis, SaaS, Call Centers, Program Management, Management, Salesforce.com, Team Leadership, Healthcare Information..., EHR, HIPAA
Education
Georgetown University 1996 — 2000
Bachelor's Degree, Resource Economics
Andrea D. Lugo's Spear, Leeds & Kellogg Experience August 1998 - May 2000
Job Senior Executive Assistant at Major, Lindsey & Africa
Industry Staffing and Recruiting
Experience
Major, Lindsey & Africa February 2008 - Present
AIG July 2007 - February 2008
Draftfcb May 2000 - June 2007
Spear Leeds & Kellogg August 1998 - May 2000
The Jericho Project, Inc. January 1996 - July 1998
Education
Kaplan University
Associate of Applied Science, Business Administration
Foote Cone & Belding
Advanced PowerPoint; Advanced Excel
Spear Leeds & Kellogg
Intermediate PowerPoint; Intermediate Excel
Tec Brooklyn - Computer School
Certificate, Computer Software Management
Major, Lindsey & Africa February 2008 - Present
AIG July 2007 - February 2008
Draftfcb May 2000 - June 2007
Spear Leeds & Kellogg August 1998 - May 2000
The Jericho Project, Inc. January 1996 - July 1998
Education
Kaplan University
Associate of Applied Science, Business Administration
Foote Cone & Belding
Advanced PowerPoint; Advanced Excel
Spear Leeds & Kellogg
Intermediate PowerPoint; Intermediate Excel
Tec Brooklyn - Computer School
Certificate, Computer Software Management
Andrew Martorano Andrew Martorano's Spear, Leeds & Kellogg Experience 1997 - 2003
Job Senior International Equity Sales and Trading Puma Capital
Industry Financial Services
Experience
Puma Capital October 2013 - Present
Sunrise Securities March 2011 - October 2013
Sunrise Securities March 2010 - March 2011
Hudson Securities 2008 - 2010
UBS Investment Bank 2003 - 2008
Spear, Leeds & Kellogg 1997 - 2003
Skills
International Sales, Equities, Hedge Funds, Equity Trading, Emerging Markets, Capital Markets, Financial Markets, Trading, Series 7, Bloomberg, Investments, Electronic Trading, Valuation
Education
Manhattan College
St John the Baptist
Puma Capital October 2013 - Present
Sunrise Securities March 2011 - October 2013
Sunrise Securities March 2010 - March 2011
Hudson Securities 2008 - 2010
UBS Investment Bank 2003 - 2008
Spear, Leeds & Kellogg 1997 - 2003
Skills
International Sales, Equities, Hedge Funds, Equity Trading, Emerging Markets, Capital Markets, Financial Markets, Trading, Series 7, Bloomberg, Investments, Electronic Trading, Valuation
Education
Manhattan College
St John the Baptist
Genara Bolz's Spear, Leeds & Kellogg Experience November 1991 - January 2001
Job Office Manager/Executive Asst. at Alphaserve Technologies
Industry Information Technology and Services
Experience
Alphaserve Technologies March 2007 - Present
Goldman Sachs January 2001 - March 2006
Spear Leeds & Kellogg November 1991 - January 2001
Education
Holy Name University 1982 — 1986
Secretarial, Stenographer
Alphaserve Technologies March 2007 - Present
Goldman Sachs January 2001 - March 2006
Spear Leeds & Kellogg November 1991 - January 2001
Education
Holy Name University 1982 — 1986
Secretarial, Stenographer
Michael Hill, Esq. Michael Hill, Esq.'s Spear, Leeds & Kellogg Experience October 1994 - March 1996
Job Managing Partner at Menzer & Hill, P.A.
Industry Law Practice
Experience
Menzer & Hill, P.A. 2010 - Present
Summit Brokerage Services November 2005 - August 2010
TradeStation Securities April 1999 - November 2005
724th Military Police BN 1998 - 2000
American Express Financial Advisors January 1998 - March 1999
Spear, Leeds & Kellogg October 1994 - March 1996
4-3 ADA, Kitzingen, Germany 1991 - 1993
Skills
Securities Regulation, FINRA, Securities, Strategic Financial..., Leadership, Securities Litigation, Alternative Dispute..., Broker-Dealer, Management, Finance, Estate Planning, Corporate Governance, Dispute Resolution
Education
Nova Southeastern University Shepard Broad College of Law 2002 — 2006
JD, Law
United States Military Academy at West Point 1986 — 1990
BS, Mechanical Engineering (Aerospace Systems)
Menzer & Hill, P.A. 2010 - Present
Summit Brokerage Services November 2005 - August 2010
TradeStation Securities April 1999 - November 2005
724th Military Police BN 1998 - 2000
American Express Financial Advisors January 1998 - March 1999
Spear, Leeds & Kellogg October 1994 - March 1996
4-3 ADA, Kitzingen, Germany 1991 - 1993
Skills
Securities Regulation, FINRA, Securities, Strategic Financial..., Leadership, Securities Litigation, Alternative Dispute..., Broker-Dealer, Management, Finance, Estate Planning, Corporate Governance, Dispute Resolution
Education
Nova Southeastern University Shepard Broad College of Law 2002 — 2006
JD, Law
United States Military Academy at West Point 1986 — 1990
BS, Mechanical Engineering (Aerospace Systems)
John Levitt, CAIA John Levitt, CAIA's Spear, Leeds & Kellogg Experience January 1991 - March 1994
Job President at Summit Investment Mgmt. Corp. and Principal at ManagementPlus Group
Industry Financial Services
Experience
Summit Investment Mgmt. Corp. 1994 - Present
ManagementPlus Group November 2013 - Present
Clearbrook Discretionary Investment Services LLC January 2011 - June 2012
UBP Asset Management January 2008 - July 2010
Gregoire Capital LLC January 2001 - December 2007
The Harvest Fund Group April 1994 - December 2000
Spear, Leeds & Kellogg January 1991 - March 1994
Further Information Available Upon Request July 1975 - December 1990
Skills
Hedge Funds, Alternative Investments, Fund Of Funds, Portfolio Management, Investments, Equities, Risk Management, Fixed Income, Asset Allocation, Due Diligence, Economics, Asset Management, Derivatives, Corporate Governance, Compliance, Family Office, Regulatory Affairs, Financial Structuring, Private Equity
Education
University of Chicago 1976 — 1978
M.A.
The Johns Hopkins University 1971 — 1975
B.A.
Summit Investment Mgmt. Corp. 1994 - Present
ManagementPlus Group November 2013 - Present
Clearbrook Discretionary Investment Services LLC January 2011 - June 2012
UBP Asset Management January 2008 - July 2010
Gregoire Capital LLC January 2001 - December 2007
The Harvest Fund Group April 1994 - December 2000
Spear, Leeds & Kellogg January 1991 - March 1994
Further Information Available Upon Request July 1975 - December 1990
Skills
Hedge Funds, Alternative Investments, Fund Of Funds, Portfolio Management, Investments, Equities, Risk Management, Fixed Income, Asset Allocation, Due Diligence, Economics, Asset Management, Derivatives, Corporate Governance, Compliance, Family Office, Regulatory Affairs, Financial Structuring, Private Equity
Education
University of Chicago 1976 — 1978
M.A.
The Johns Hopkins University 1971 — 1975
B.A.
Chad D. Ehrenkranz Chad D. Ehrenkranz's Spear, Leeds & Kellogg Experience June 2000 - August 2000
Job DLA Piper
Industry Law Practice
Experience
DLA Piper December 2013 - Present
Greenberg Traurig, LLP April 2013 - December 2013
Brach Eichler L.L.C. f/k/a WolfBlock LLP September 2008 - March 2013
WolfBlock LLP June 2007 - August 2007
Wachovia 2003 - 2005
Spear Leeds & Kellogg June 2000 - August 2000
Skills
Health Law, Joint Ventures, Mergers & Acquisitions, Litigation, Mergers, Corporate Law, Legal Writing, Strategy, Real Estate, Legal Research, Civil Litigation, Finance, Healthcare, Contract Negotiation, Appeals, Negotiation, HIPAA, Due Diligence, Corporate Governance
Education
University of Miami School of Law 2005 — 2008
JD, Cum Laude, Law Review
New York University 1999 — 2002
BA, Politics
Governor Dummer Academy
DLA Piper December 2013 - Present
Greenberg Traurig, LLP April 2013 - December 2013
Brach Eichler L.L.C. f/k/a WolfBlock LLP September 2008 - March 2013
WolfBlock LLP June 2007 - August 2007
Wachovia 2003 - 2005
Spear Leeds & Kellogg June 2000 - August 2000
Skills
Health Law, Joint Ventures, Mergers & Acquisitions, Litigation, Mergers, Corporate Law, Legal Writing, Strategy, Real Estate, Legal Research, Civil Litigation, Finance, Healthcare, Contract Negotiation, Appeals, Negotiation, HIPAA, Due Diligence, Corporate Governance
Education
University of Miami School of Law 2005 — 2008
JD, Cum Laude, Law Review
New York University 1999 — 2002
BA, Politics
Governor Dummer Academy
Michael Cosimano Michael Cosimano's Spear, Leeds & Kellogg Experience January 1995 - January 1997
Job Group Health Benefits & 401(k)
Industry Financial Services
Experience
Northeast Professional Planning Group (NPPG) June 2013 - Present
Sovereign Bank May 2012 - June 2013
Northwestern Mutual November 2008 - April 2012
LBS FINANCIAL SERVICES April 2008 - October 2008
Goldman Sachs January 1997 - May 2007
Spear, Leeds & Kellogg January 1995 - January 1997
RSF Partners January 1988 - December 1994
Skills
Investments, Series 7, Securities, FINRA, Financial Services, Strategy, Equity Trading, Financial Advisory, Series 63, Trading, Customer Service, Sales Management, Financial Analysis, Equities, Financial Markets, Options, Mutual Funds, Capital Markets, Insurance, Sales Process, Market Research, Hedge Funds, Healthcare, Employee Benefits, Customer Relations, Defined Benefit, Benefits Administration, Banking, Management
Education
New York Institute of Finance 1990 — 1991
Technical Analysis
Old Dominion University 1986 — 1990
Ramsey High School 1982 — 1986
Northeast Professional Planning Group (NPPG) June 2013 - Present
Sovereign Bank May 2012 - June 2013
Northwestern Mutual November 2008 - April 2012
LBS FINANCIAL SERVICES April 2008 - October 2008
Goldman Sachs January 1997 - May 2007
Spear, Leeds & Kellogg January 1995 - January 1997
RSF Partners January 1988 - December 1994
Skills
Investments, Series 7, Securities, FINRA, Financial Services, Strategy, Equity Trading, Financial Advisory, Series 63, Trading, Customer Service, Sales Management, Financial Analysis, Equities, Financial Markets, Options, Mutual Funds, Capital Markets, Insurance, Sales Process, Market Research, Hedge Funds, Healthcare, Employee Benefits, Customer Relations, Defined Benefit, Benefits Administration, Banking, Management
Education
New York Institute of Finance 1990 — 1991
Technical Analysis
Old Dominion University 1986 — 1990
Ramsey High School 1982 — 1986
Paul Marrella Paul Marrella's Spear, Leeds & Kellogg Experience May 1995 - September 1998
Job Managing Partner/CFP at Marrella Financial Group, LLC (Independent Firm)
Industry Financial Services
Experience
Marrella Financial Group, LLC (Independent Firm) January 2001 - Present
Raymond James Financial Services, Inc. January 2001 - Present
Spear Leeds & Kellogg May 1995 - September 1998
Buffalo Partners June 1994 - January 1995
Fry & Golden February 1992 - June 1994
Skills
Estate Planning, Investments, Securities, Mutual Funds, Retirement Planning, Equities, Financial Advisory, Wealth Management, Strategic Financial..., Series 7, Investment Advisory, Asset Allocation, Alternative Investments, Wealth Management..., Investment Strategies, Portfolio Management, Asset Managment, Financial Planning, Wealth Transfer, Widows
Education
Pennsylvania State University, The Dickinson School of Law 1988 — 1991
J.D., Law
Albright College 1984 — 1988
B.S., Mathematics/Finance
Wilson Senior High School 1981 — 1984
HS Diploma
Marrella Financial Group, LLC (Independent Firm) January 2001 - Present
Raymond James Financial Services, Inc. January 2001 - Present
Spear Leeds & Kellogg May 1995 - September 1998
Buffalo Partners June 1994 - January 1995
Fry & Golden February 1992 - June 1994
Skills
Estate Planning, Investments, Securities, Mutual Funds, Retirement Planning, Equities, Financial Advisory, Wealth Management, Strategic Financial..., Series 7, Investment Advisory, Asset Allocation, Alternative Investments, Wealth Management..., Investment Strategies, Portfolio Management, Asset Managment, Financial Planning, Wealth Transfer, Widows
Education
Pennsylvania State University, The Dickinson School of Law 1988 — 1991
J.D., Law
Albright College 1984 — 1988
B.S., Mathematics/Finance
Wilson Senior High School 1981 — 1984
HS Diploma
Nicholas Cappelleri's Spear, Leeds & Kellogg Experience March 1985 - September 2002
Job Director at KCG Holdings Inc.
Industry Financial Services
Experience
KCG Holdings Inc January 2011 - Present
Kellogg Capital Markets October 2002 - December 2010
Spear Leeds & Kellogg March 1985 - September 2002
Skills
Derivatives, Restructuring, Trading, Equities, Fixed Income, Risk Management, Electronic Trading, Securities, Market Data, Series 7, Trading Systems, Options, Financial Markets, Investments, Hedge Funds, Capital Markets, Equity Trading, Middle Office, Prime Brokerage, Proprietary Trading, Portfolio Management, Financial Risk, ETFs, Alternative Investments, Bloomberg, FINRA, Finance, Equity Derivatives, Market Making, Series 24, Series 63, Bonds, Structured Products, FX Options, Trading Strategies, Credit Derivatives, Swaps, Volatility, Hedging, Securities Lending, Commodity
Education
Pace University - Lubin School of Business 1983 — 1987
BBA, Finance
KCG Holdings Inc January 2011 - Present
Kellogg Capital Markets October 2002 - December 2010
Spear Leeds & Kellogg March 1985 - September 2002
Skills
Derivatives, Restructuring, Trading, Equities, Fixed Income, Risk Management, Electronic Trading, Securities, Market Data, Series 7, Trading Systems, Options, Financial Markets, Investments, Hedge Funds, Capital Markets, Equity Trading, Middle Office, Prime Brokerage, Proprietary Trading, Portfolio Management, Financial Risk, ETFs, Alternative Investments, Bloomberg, FINRA, Finance, Equity Derivatives, Market Making, Series 24, Series 63, Bonds, Structured Products, FX Options, Trading Strategies, Credit Derivatives, Swaps, Volatility, Hedging, Securities Lending, Commodity
Education
Pace University - Lubin School of Business 1983 — 1987
BBA, Finance
Robert Van Horn's Spear, Leeds & Kellogg Experience August 1998 - October 1999
Job
Industry Consumer Goods
Experience
Currently Seeking Financial Management Role 2015 - Present
PepsiCo - Pepsi Beverages Company 2012 - 2014
PepsiCo - Gatorade 2010 - 2012
PepsiCo - Gatorade September 2008 - 2010
PepsiCo - Frito Lay August 2007 - September 2008
PepsiCo - Frito Lay August 2005 - August 2007
Deutsche Bank October 2000 - May 2003
PaineWebber January 2000 - October 2000
Spear, Leeds & Kellogg August 1998 - October 1999
Skills
Finance, Strategic Financial..., Financial Modeling, Financial Analysis, Corporate Finance, P&L, Forecasting, Business Process..., Budgets, Competitive Analysis, P&L Management, Financial Planning, Strategic Planning, Cross-functional Team..., Management, Financial Reporting, Strategic Thinking, Communication, Business Transformation, Finance Transformation, Process Improvement, Supply Chain, Analysis, Business Analysis, Business Strategy, Team Leadership, Team Management, Coaching, Talent Developer, Strategy, Valuation, Leadership, Executive Financial..., Executive Reporting, SEC Filings, Capital Projects, Business Innovation, Process Optimization, Scenario Planning, Scenario Analysis, Consumer Products, Business Planning, Financial Forecasting, Revenue Forecasting, Demand Forecasting, Cash Flow, FMCG, Change Management, Consolidation, Managerial Finance
Education
Northwestern University - Kellogg School of Management 2003 — 2005
MBA, Finance, Strategy & Management
University of Notre Dame 1995 — 1998
BA, Economics, History, cum laude
Currently Seeking Financial Management Role 2015 - Present
PepsiCo - Pepsi Beverages Company 2012 - 2014
PepsiCo - Gatorade 2010 - 2012
PepsiCo - Gatorade September 2008 - 2010
PepsiCo - Frito Lay August 2007 - September 2008
PepsiCo - Frito Lay August 2005 - August 2007
Deutsche Bank October 2000 - May 2003
PaineWebber January 2000 - October 2000
Spear, Leeds & Kellogg August 1998 - October 1999
Skills
Finance, Strategic Financial..., Financial Modeling, Financial Analysis, Corporate Finance, P&L, Forecasting, Business Process..., Budgets, Competitive Analysis, P&L Management, Financial Planning, Strategic Planning, Cross-functional Team..., Management, Financial Reporting, Strategic Thinking, Communication, Business Transformation, Finance Transformation, Process Improvement, Supply Chain, Analysis, Business Analysis, Business Strategy, Team Leadership, Team Management, Coaching, Talent Developer, Strategy, Valuation, Leadership, Executive Financial..., Executive Reporting, SEC Filings, Capital Projects, Business Innovation, Process Optimization, Scenario Planning, Scenario Analysis, Consumer Products, Business Planning, Financial Forecasting, Revenue Forecasting, Demand Forecasting, Cash Flow, FMCG, Change Management, Consolidation, Managerial Finance
Education
Northwestern University - Kellogg School of Management 2003 — 2005
MBA, Finance, Strategy & Management
University of Notre Dame 1995 — 1998
BA, Economics, History, cum laude
Bruce Baer's Spear, Leeds & Kellogg Experience April 1992 - June 1993
Job Information Technology Professional
Industry Information Technology and Services
Experience
Mission Solutions Engineering, LLC December 2006 - Present
Booz Allen Hamilton October 2005 - November 2006
Verizon Federal Network Systems 2003 - October 2005
Genuity/GTE Internetworking/BBN 1995 - 2004
Compuware July 1993 - August 1995
Spear, Leeds & Kellogg April 1992 - June 1993
The Equitable April 1983 - March 1992
Education
Brooklyn College 1983 — 1989
B.S., Computer Science
Mission Solutions Engineering, LLC December 2006 - Present
Booz Allen Hamilton October 2005 - November 2006
Verizon Federal Network Systems 2003 - October 2005
Genuity/GTE Internetworking/BBN 1995 - 2004
Compuware July 1993 - August 1995
Spear, Leeds & Kellogg April 1992 - June 1993
The Equitable April 1983 - March 1992
Education
Brooklyn College 1983 — 1989
B.S., Computer Science
John Power's Spear, Leeds & Kellogg Experience 1993 - 1996
Job
Industry Financial Services
Experience
Mark My Media January 2011 - January 2014
Mantara August 2009 - January 2011
Matrix USA, LLC March 2008 - April 2009
Mellon Investor Services January 2006 - July 2007
Mellon Investor Services September 2005 - July 2007
E*Trade Financial October 2003 - September 2005
Bank Julius Baer November 1996 - March 2003
Spear Leeds & Kellogg 1993 - 1996
Best Products February 1992 - February 1993
RCG Information Technology November 1990 - February 1992
Skills
Financial Reporting, Treasury Management, Project Management, Transfer Pricing, Wealth Management..., Equities, Financial Analysis, Securities, Investments, Capital Markets, Risk Management, Options, Finance, Asset Management, Bloomberg, Management, Accounting, Equity Trading, Venture Capital, Trading Systems, Hedge Funds, Financial Markets, Financial Modeling, Leadership, Banking, Analytics, Financial Services, Portfolio Management, Process Improvement, Private Equity, Strategic Planning, CRM, Fixed Income, Mergers & Acquisitions, Derivatives, Valuation, Investment Banking, Trading, Series 7, Mutual Funds
Education
IMD (International Institute for Management Development) - Business Programs 2001 — 2001
Post Graduate Certificate
Dowling College 1992 — 1993
M.B.A.
Manhattan College 1985 — 1990
B.S.
Cathedral Prep 1981 — 1985
Mark My Media January 2011 - January 2014
Mantara August 2009 - January 2011
Matrix USA, LLC March 2008 - April 2009
Mellon Investor Services January 2006 - July 2007
Mellon Investor Services September 2005 - July 2007
E*Trade Financial October 2003 - September 2005
Bank Julius Baer November 1996 - March 2003
Spear Leeds & Kellogg 1993 - 1996
Best Products February 1992 - February 1993
RCG Information Technology November 1990 - February 1992
Skills
Financial Reporting, Treasury Management, Project Management, Transfer Pricing, Wealth Management..., Equities, Financial Analysis, Securities, Investments, Capital Markets, Risk Management, Options, Finance, Asset Management, Bloomberg, Management, Accounting, Equity Trading, Venture Capital, Trading Systems, Hedge Funds, Financial Markets, Financial Modeling, Leadership, Banking, Analytics, Financial Services, Portfolio Management, Process Improvement, Private Equity, Strategic Planning, CRM, Fixed Income, Mergers & Acquisitions, Derivatives, Valuation, Investment Banking, Trading, Series 7, Mutual Funds
Education
IMD (International Institute for Management Development) - Business Programs 2001 — 2001
Post Graduate Certificate
Dowling College 1992 — 1993
M.B.A.
Manhattan College 1985 — 1990
B.S.
Cathedral Prep 1981 — 1985
Ed Carragee's Spear, Leeds & Kellogg Experience 1983 - 1984
Job Experienced IT Manager Diverse Technologies, Strong People Skills
Industry Information Technology and Services
Experience
US Census Bureau October 2009 - October 2010
US Census Bureau April 2009 - May 2009
JM Family Enterprises April 1997 - March 2007
Smith Barney Shearson January 1989 - January 1997
Systems Software, Manufactures Hanover Trust January 1984 - January 1989
Spear, Leeds & Kellogg 1983 - 1984
Moodys Investors Service 1977 - 1983
Skills
Disaster Recovery, Vendor Management, Security, System Administration, Data Center, Leadership, Business Continuity, Enterprise Software, Servers, Integration, Project Management, Strategic Planning, SDLC, Technical Support, Team Building, Process Improvement, Active Directory, ITIL, Microsoft Office, Operating Systems, Business Analysis, Network Administration, Troubleshooting, Windows, Storage, VMware, Customer Service, Information Technology, Negotiation, SQL, Contract Negotiation, Microsoft Excel, Training, Management, PowerPoint, Microsoft Word, Program Management, Team Leadership, IT Management, Software Development, Microsoft Technologies, Software Documentation, Microsoft SQL Server, Databases, Problem Solving, Customer Relations, Contract Negotiations, Learning Management..., E-Learning, Blended Learning
Education
Glendale University 2006 — 2007
BS
Queensborough Community College
AAS
US Census Bureau October 2009 - October 2010
US Census Bureau April 2009 - May 2009
JM Family Enterprises April 1997 - March 2007
Smith Barney Shearson January 1989 - January 1997
Systems Software, Manufactures Hanover Trust January 1984 - January 1989
Spear, Leeds & Kellogg 1983 - 1984
Moodys Investors Service 1977 - 1983
Skills
Disaster Recovery, Vendor Management, Security, System Administration, Data Center, Leadership, Business Continuity, Enterprise Software, Servers, Integration, Project Management, Strategic Planning, SDLC, Technical Support, Team Building, Process Improvement, Active Directory, ITIL, Microsoft Office, Operating Systems, Business Analysis, Network Administration, Troubleshooting, Windows, Storage, VMware, Customer Service, Information Technology, Negotiation, SQL, Contract Negotiation, Microsoft Excel, Training, Management, PowerPoint, Microsoft Word, Program Management, Team Leadership, IT Management, Software Development, Microsoft Technologies, Software Documentation, Microsoft SQL Server, Databases, Problem Solving, Customer Relations, Contract Negotiations, Learning Management..., E-Learning, Blended Learning
Education
Glendale University 2006 — 2007
BS
Queensborough Community College
AAS
Stephen VanDeusen's Spear, Leeds & Kellogg Experience 1998 - 2000
Job Director of Technology Deployment at DataVoke, Inc.
Industry Financial Services
Experience
DataVoke, Inc. September 2015 - Present
Green Key Technologies February 2015 - July 2015
Goldman Sachs & Co. March 1999 - February 2015
Spear, Leeds & Kellogg 1998 - 2000
Market Data Coporation 1992 - 1999
Market Data Corp 1992 - 1998
Telerate 1991 - 1992
Skills
Derivatives, Capital Markets, Electronic Trading, Unix, Trading Systems, Market Data, Equity Trading, Hedge Funds, Options, Prime Brokerage, Fixed Income, Low Latency, SDLC, Equity Derivatives, Equities, Exchange Connectivity, Financial Markets
Education
New York Institute of Technology-Old Westbury 1985 — 1991
Bachelor of Science (BS), Computer Science
DataVoke, Inc. September 2015 - Present
Green Key Technologies February 2015 - July 2015
Goldman Sachs & Co. March 1999 - February 2015
Spear, Leeds & Kellogg 1998 - 2000
Market Data Coporation 1992 - 1999
Market Data Corp 1992 - 1998
Telerate 1991 - 1992
Skills
Derivatives, Capital Markets, Electronic Trading, Unix, Trading Systems, Market Data, Equity Trading, Hedge Funds, Options, Prime Brokerage, Fixed Income, Low Latency, SDLC, Equity Derivatives, Equities, Exchange Connectivity, Financial Markets
Education
New York Institute of Technology-Old Westbury 1985 — 1991
Bachelor of Science (BS), Computer Science
Michael Benz's Spear, Leeds & Kellogg Experience January 1999 - 2002
Job
Industry Financial Services
Experience
Pine River Capital Management June 2014 - Present
Goldman Sachs 2007 - June 2014
Goldman Sachs 2004 - 2007
SLK Hull Derivatives 2002 - 2004
Spear, Leeds & Kellogg January 1999 - 2002
Education
Columbia University - School of International and Public Affairs 2005 — 2007
MPA
Northwestern University 1994 — 1998
BA
University of San Diego High School 1990 — 1994
Pine River Capital Management June 2014 - Present
Goldman Sachs 2007 - June 2014
Goldman Sachs 2004 - 2007
SLK Hull Derivatives 2002 - 2004
Spear, Leeds & Kellogg January 1999 - 2002
Education
Columbia University - School of International and Public Affairs 2005 — 2007
MPA
Northwestern University 1994 — 1998
BA
University of San Diego High School 1990 — 1994
Jack Zar's Spear, Leeds & Kellogg Experience 2000 - 2001
Job Network Performance Engineer
Industry Financial Services
Experience
Bloomberg LP September 2014 - Present
Goldman Sachs January 2013 - June 2014
Goldman Sachs January 2007 - January 2013
Goldman Sachs January 2002 - January 2007
Spear, Leeds & Kellogg 2000 - 2001
TLW Securities 1994 - 2001
Moneyline 1992 - 1994
Skills
Low Latency, Unix, Routing, Market Data, Trading Systems, Data Center, Electronic Trading, Cisco Technologies, Software Development, Networking, Network Security, Perl, Exchange Connectivity, Shell Scripting, Disaster Recovery, Enterprise Architecture, Infrastructure
Education
The Cooper Union for the Advancement of Science and Art 1986 — 1990
BSEE, Electrical and Electronics Engineering
Bloomberg LP September 2014 - Present
Goldman Sachs January 2013 - June 2014
Goldman Sachs January 2007 - January 2013
Goldman Sachs January 2002 - January 2007
Spear, Leeds & Kellogg 2000 - 2001
TLW Securities 1994 - 2001
Moneyline 1992 - 1994
Skills
Low Latency, Unix, Routing, Market Data, Trading Systems, Data Center, Electronic Trading, Cisco Technologies, Software Development, Networking, Network Security, Perl, Exchange Connectivity, Shell Scripting, Disaster Recovery, Enterprise Architecture, Infrastructure
Education
The Cooper Union for the Advancement of Science and Art 1986 — 1990
BSEE, Electrical and Electronics Engineering
Sarah Sheldon's Spear, Leeds & Kellogg Experience 1998 - 2002
Job Financial Planning Consultant
Industry Financial Services
Experience
The Executive Wealth Group March 2007 - Present
Bank of America April 2002 - May 2006
Spear, Leeds & Kellogg 1998 - 2002
Education
Georgetown University 1992 — 1996
Bachelor of Arts (BA)
The Executive Wealth Group March 2007 - Present
Bank of America April 2002 - May 2006
Spear, Leeds & Kellogg 1998 - 2002
Education
Georgetown University 1992 — 1996
Bachelor of Arts (BA)
Tim Luu's Spear, Leeds & Kellogg Experience August 2001 - February 2005
Job Head of Client Conectivity NA at Deutsche Bank
Industry Financial Services
Experience
Deutsche Bank June 2007 - Present
Banc of America Securities March 2005 - June 2007
Spear Leeds & Kellogg August 2001 - February 2005
Securities Industry Automated Corporation March 1999 - August 2001
Skills
Bloomberg, Capital Markets, Derivatives, Electronic Trading, Equities, Equity Derivatives, Equity Trading, Fixed Income, Hedge Funds, Investment Banking, Market Data, Sybase, Trading, Trading Systems, Unix
Education
New York University - Polytechnic School of Engineering 1995 — 2009
Deutsche Bank June 2007 - Present
Banc of America Securities March 2005 - June 2007
Spear Leeds & Kellogg August 2001 - February 2005
Securities Industry Automated Corporation March 1999 - August 2001
Skills
Bloomberg, Capital Markets, Derivatives, Electronic Trading, Equities, Equity Derivatives, Equity Trading, Fixed Income, Hedge Funds, Investment Banking, Market Data, Sybase, Trading, Trading Systems, Unix
Education
New York University - Polytechnic School of Engineering 1995 — 2009
Lawrence Sahr's Spear, Leeds & Kellogg Experience 1995 - 2002
Job Trader
Industry Investment Management
Experience
Sano Investments 2003 - March 2014
Spear Leeds & Kellogg 1995 - 2002
Skills
Equity Trading, Electronic Trading, Options, Investments, Fixed Income, Equities, Trading, Bloomberg, Trading Systems, ETFs, Hedge Funds, Alternative Investments, Hedging, Derivatives, Financial Markets, Series 63, Series 7, Proprietary Trading, FINRA, Equity Research, Securities, Capital Markets, Fund Of Funds, Market Making, Bloomberg Terminal, Trading Strategies, Equity Derivatives, Commodity
Education
Bentley University 1992 — 1995
Sano Investments 2003 - March 2014
Spear Leeds & Kellogg 1995 - 2002
Skills
Equity Trading, Electronic Trading, Options, Investments, Fixed Income, Equities, Trading, Bloomberg, Trading Systems, ETFs, Hedge Funds, Alternative Investments, Hedging, Derivatives, Financial Markets, Series 63, Series 7, Proprietary Trading, FINRA, Equity Research, Securities, Capital Markets, Fund Of Funds, Market Making, Bloomberg Terminal, Trading Strategies, Equity Derivatives, Commodity
Education
Bentley University 1992 — 1995
Steve Fuchs's Spear, Leeds & Kellogg Experience July 1997 - July 2001
Job Vice President at Goldman Sachs Global Clearing Services
Industry Financial Services
Experience
Goldman Sachs August 2001 - Present
Spear, Leeds & Kellogg July 1997 - July 2001
Fulvio LLP June 1993 - July 1997
Skills
Series 7, Hedge Funds, Equities, Derivatives, Securities, Financial Markets, Prime Brokerage, Electronic Trading, Trading Systems, Settlement, Middle Office, Equity Trading, Bloomberg, Fixed Income, Equity Derivatives, Market Data, Options, Securities Lending, Proprietary Trading
Education
Touro College 1990 — 1992
Bachelor of Science (BS), Accounting
Goldman Sachs August 2001 - Present
Spear, Leeds & Kellogg July 1997 - July 2001
Fulvio LLP June 1993 - July 1997
Skills
Series 7, Hedge Funds, Equities, Derivatives, Securities, Financial Markets, Prime Brokerage, Electronic Trading, Trading Systems, Settlement, Middle Office, Equity Trading, Bloomberg, Fixed Income, Equity Derivatives, Market Data, Options, Securities Lending, Proprietary Trading
Education
Touro College 1990 — 1992
Bachelor of Science (BS), Accounting
Seth Grubman's Spear, Leeds & Kellogg Experience 1996 - 1999
Job President at Panoramika Advisors Inc.
Industry Financial Services
Experience
Panoramika Advisors Inc. September 2014 - Present
BNP Paribas November 2010 - August 2014
SUNTRUST February 2008 - November 2010
MELLON 2004 - 2007
CREDIT SUISSE 2001 - 2004
GOLDMAN, SACHS & CO 2000 - 2000
SPEAR, LEEDS & KELLOGG 1996 - 1999
Federal Reserve Bank of New York August 1994 - February 1996
ALPHA INVESTMENT MANAGEMENT, INC 1996 - 1996
Skills
Investments, Wealth Management, Alternative Investments, Hedge Funds, Equities, Investment Strategies, Financial Analysis, Fixed Income, Portfolio Management, Business Development, Risk Management, Structured Products, Strategy, Derivatives, Asset Allocation, Finance, Valuation, CRM, Private Banking, Wealth Management..., Private Equity, Fund Of Funds, Trading, Analysis, Options
Education
Duke University - The Fuqua School of Business 1999 — 2001
MBA
University of Miami - School of Business 1990 — 1994
BBA, Finance
Panoramika Advisors Inc. September 2014 - Present
BNP Paribas November 2010 - August 2014
SUNTRUST February 2008 - November 2010
MELLON 2004 - 2007
CREDIT SUISSE 2001 - 2004
GOLDMAN, SACHS & CO 2000 - 2000
SPEAR, LEEDS & KELLOGG 1996 - 1999
Federal Reserve Bank of New York August 1994 - February 1996
ALPHA INVESTMENT MANAGEMENT, INC 1996 - 1996
Skills
Investments, Wealth Management, Alternative Investments, Hedge Funds, Equities, Investment Strategies, Financial Analysis, Fixed Income, Portfolio Management, Business Development, Risk Management, Structured Products, Strategy, Derivatives, Asset Allocation, Finance, Valuation, CRM, Private Banking, Wealth Management..., Private Equity, Fund Of Funds, Trading, Analysis, Options
Education
Duke University - The Fuqua School of Business 1999 — 2001
MBA
University of Miami - School of Business 1990 — 1994
BBA, Finance
Christopher Truchan's Spear, Leeds & Kellogg Experience January 2001 - August 2003
Job Director at Deutsche Bank
Industry Financial Services
Experience
Deutsche Bank December 2009 - Present
Goldman Sachs & Co July 2005 - November 2009
Goldman Sachs International September 2003 - June 2005
Spear, Leeds & Kellogg January 2001 - August 2003
Education
Sacred Heart University 1997 — 2000
Finance, Management
Fordham University 1996 — 1997
Fordham Prep 1992 — 1996
Deutsche Bank December 2009 - Present
Goldman Sachs & Co July 2005 - November 2009
Goldman Sachs International September 2003 - June 2005
Spear, Leeds & Kellogg January 2001 - August 2003
Education
Sacred Heart University 1997 — 2000
Finance, Management
Fordham University 1996 — 1997
Fordham Prep 1992 — 1996
Jill Hetzron's Spear, Leeds & Kellogg Experience 1995 - 2000
Job Director Equities IT at UBS Investment Bank
Industry Financial Services
Experience
UBS Investment Bank July 2013 - Present
Goldman Sachs September 1995 - Present
spear leads & kellogg 1995 - 2002
Spear Leeds & Kellogg 1995 - 2000
Skills
Smart Order Routing, Electronic Trading, Equity Trading, Series 7, Trading Systems, Routing, Project Management, Compliance, Visio, Microsoft Word, Integration, Equity Derivatives, Prime Brokerage, Market Data, Low Latency, Program Trading, Exchange Connectivity, Sybase
Education
City University of New York-Queens College
Bachelor of Arts (B.A.), Computer Science
Normal School
Normal School
Polytechnic University
Master of Science (MS), Computer Science
UBS Investment Bank July 2013 - Present
Goldman Sachs September 1995 - Present
spear leads & kellogg 1995 - 2002
Spear Leeds & Kellogg 1995 - 2000
Skills
Smart Order Routing, Electronic Trading, Equity Trading, Series 7, Trading Systems, Routing, Project Management, Compliance, Visio, Microsoft Word, Integration, Equity Derivatives, Prime Brokerage, Market Data, Low Latency, Program Trading, Exchange Connectivity, Sybase
Education
City University of New York-Queens College
Bachelor of Arts (B.A.), Computer Science
Normal School
Normal School
Polytechnic University
Master of Science (MS), Computer Science
Anthony Basenese's Spear, Leeds & Kellogg Experience October 1984 - June 2001
Job Institutional Brokerage
Industry Capital Markets
Experience
Prudential Financial October 2014 - Present
WallachBeth Capital January 2007 - December 2012
Geronimo, LLC February 2006 - December 2006
Equitec Proprietary Markets, LLC September 2002 - February 2006
LaBranche & Co. LLC June 2001 - September 2002
Spear, Leeds & Kellogg October 1984 - June 2001
Skills
Options, ETFs, Trading, Equity Trading, Trading Systems, Equities, Proprietary Trading, Hedging, Portfolio Management, Financial Risk, Equity Derivatives, Hedge Funds, Derivatives, Series 7, Securities, Electronic Trading, Bloomberg, Series 63, Market Making, FINRA, Trading Strategies, Arbitrage, Volatility, Capital Markets, Financial Markets, Fixed Income, Structured Products, Series 24, Traders, Alternative Investments, Commodity, Investment Strategies, Swaps, FX Options, Equity Research, Technical Analysis, Options Strategies, Investments
Education
Lehigh University 1978 — 1982
Bachelor’s Degree, Finance
Prudential Financial October 2014 - Present
WallachBeth Capital January 2007 - December 2012
Geronimo, LLC February 2006 - December 2006
Equitec Proprietary Markets, LLC September 2002 - February 2006
LaBranche & Co. LLC June 2001 - September 2002
Spear, Leeds & Kellogg October 1984 - June 2001
Skills
Options, ETFs, Trading, Equity Trading, Trading Systems, Equities, Proprietary Trading, Hedging, Portfolio Management, Financial Risk, Equity Derivatives, Hedge Funds, Derivatives, Series 7, Securities, Electronic Trading, Bloomberg, Series 63, Market Making, FINRA, Trading Strategies, Arbitrage, Volatility, Capital Markets, Financial Markets, Fixed Income, Structured Products, Series 24, Traders, Alternative Investments, Commodity, Investment Strategies, Swaps, FX Options, Equity Research, Technical Analysis, Options Strategies, Investments
Education
Lehigh University 1978 — 1982
Bachelor’s Degree, Finance
Cèline Coleman's Spear, Leeds & Kellogg Experience November 1993 - 2000
Job Assistant at Societe Generale
Industry Financial Services
Experience
Societe Generale 2005 - 2007
Spear, Leeds & Kellogg November 1993 - 2000
Education
City University of New York-Hunter College 2000 — 2005
Bachelor of Arts, English and Philosophy
Societe Generale 2005 - 2007
Spear, Leeds & Kellogg November 1993 - 2000
Education
City University of New York-Hunter College 2000 — 2005
Bachelor of Arts, English and Philosophy
Thomas Fernandes's Spear, Leeds & Kellogg Experience April 1996 - March 2000
Job Managing Principal at GreenHaven Group LLC
Industry Financial Services
Experience
GreenHaven Group LLC September 2012 - Present
GreenHaven March 2005 - September 2012
GrainService Corporation March 2005 - September 2012
West Broadway Partners March 2002 - February 2005
Fleet Trading - A divsion of Fleet Bank of Boston March 2000 - March 2002
Spear Leeds & Kellogg April 1996 - March 2000
Skills
Business Strategy, Management Consulting, Equities, Strategic Financial..., Change Management, Corporate Finance, Wealth Management, Investment Banking, Hedge Funds
Education
Fordham University - Graduate School of Business Administration 1999 — 2002
Master of Business Administration (M.B.A.), Finance and Financial Management Services
SUNY Geneseo 1991 — 1995
Bachelor's degree, Political Science and Government
GreenHaven Group LLC September 2012 - Present
GreenHaven March 2005 - September 2012
GrainService Corporation March 2005 - September 2012
West Broadway Partners March 2002 - February 2005
Fleet Trading - A divsion of Fleet Bank of Boston March 2000 - March 2002
Spear Leeds & Kellogg April 1996 - March 2000
Skills
Business Strategy, Management Consulting, Equities, Strategic Financial..., Change Management, Corporate Finance, Wealth Management, Investment Banking, Hedge Funds
Education
Fordham University - Graduate School of Business Administration 1999 — 2002
Master of Business Administration (M.B.A.), Finance and Financial Management Services
SUNY Geneseo 1991 — 1995
Bachelor's degree, Political Science and Government
Ashley Grissom's Spear, Leeds & Kellogg Experience September 1999 - May 2000
Job Trader at Russell Investments
Industry Investment Management
Experience
Russell Investments May 2010 - Present
Q Investments January 2008 - June 2009
WaMu Capital Corp. January 2003 - September 2007
Forza Capital Management June 2000 - June 2002
Spear, Leeds & Kellogg September 1999 - May 2000
Skills
Bloomberg, Trading, Fixed Income, Investment Management, Credit Risk, Hedge Funds, Equities, Portfolio Management, Alternative Investments, Hedging, Bonds, Capital Markets, Investments, Asset Management, Options, Asset Allocation, Series 63, Structured Products, Investment Strategies, Securities, Equity Research, Equity Derivatives, Valuation, Derivatives, Series 7, Equity Trading, ETFs, Series 55, Series 66
Education
The Jerome Fisher Program in Management and Technology at the University of Pennsylvania 1994 — 1999
University of Pennsylvania - The Wharton School 1994 — 1999
Bachelor of Science in Economics, Finance
University of Pennsylvania 1994 — 1999
Bachelor of Applied Science, Computer Science
The McCallie School 1990 — 1994
High school
Russell Investments May 2010 - Present
Q Investments January 2008 - June 2009
WaMu Capital Corp. January 2003 - September 2007
Forza Capital Management June 2000 - June 2002
Spear, Leeds & Kellogg September 1999 - May 2000
Skills
Bloomberg, Trading, Fixed Income, Investment Management, Credit Risk, Hedge Funds, Equities, Portfolio Management, Alternative Investments, Hedging, Bonds, Capital Markets, Investments, Asset Management, Options, Asset Allocation, Series 63, Structured Products, Investment Strategies, Securities, Equity Research, Equity Derivatives, Valuation, Derivatives, Series 7, Equity Trading, ETFs, Series 55, Series 66
Education
The Jerome Fisher Program in Management and Technology at the University of Pennsylvania 1994 — 1999
University of Pennsylvania - The Wharton School 1994 — 1999
Bachelor of Science in Economics, Finance
University of Pennsylvania 1994 — 1999
Bachelor of Applied Science, Computer Science
The McCallie School 1990 — 1994
High school
Philip Tamallanca's Spear, Leeds & Kellogg Experience 1987 - 1991
Job Sales at Eagle Industries
Industry Financial Services
Experience
Eagle Industries June 2011 - Present
Sikorsky Aircraft November 2008 - April 2011
Banc of America Specialist July 1991 - February 2007
Merrill Lynch Specialist January 1991 - January 1995
Spear, Leeds & Kellogg 1987 - 1991
Education
University of Hartford 1983 — 1987
Bachelor of Arts, Political Science
Eagle Industries June 2011 - Present
Sikorsky Aircraft November 2008 - April 2011
Banc of America Specialist July 1991 - February 2007
Merrill Lynch Specialist January 1991 - January 1995
Spear, Leeds & Kellogg 1987 - 1991
Education
University of Hartford 1983 — 1987
Bachelor of Arts, Political Science
Peter Marquardt, CSCP, CAMS's Spear, Leeds & Kellogg Experience March 1996 - September 2000
Job COO at The LeoGroup, LLC
Industry Financial Services
Experience
The Leo Group, LLC May 2014 - Present
SenaHill Partners, LP May 2014 - Present
FCG Advisors, LLC June 2010 - May 2014
Various Financial Services Companies October 2003 - June 2010
Goldman Sachs March 1996 - October 2003
Spear, Leeds & Kellogg March 1996 - September 2000
Skills
Hedge Funds, Sports Coaching
Education
Lehigh University
Tulane University - A.B. Freeman School of Business
Masters Certificate in Management
newark academy
The Leo Group, LLC May 2014 - Present
SenaHill Partners, LP May 2014 - Present
FCG Advisors, LLC June 2010 - May 2014
Various Financial Services Companies October 2003 - June 2010
Goldman Sachs March 1996 - October 2003
Spear, Leeds & Kellogg March 1996 - September 2000
Skills
Hedge Funds, Sports Coaching
Education
Lehigh University
Tulane University - A.B. Freeman School of Business
Masters Certificate in Management
newark academy
Ken Pasternak's Spear, Leeds & Kellogg Experience 1979 - 1994
Job at KABR group
Industry Financial Services
Experience
chestnut ridge capital chairmanKABR groupJuly 2008 - Present
spigit 2006 - Present
Knight Capital Group 1995 - 2001
Knight Equity Markets 1995 - 2000
spear leeds & kellogg 1979 - 1994
Troster Singer Corp. 1977 - 1994
Education
State University of New York at New Paltz 1972 — 1977
bs, education
chestnut ridge capital chairmanKABR groupJuly 2008 - Present
spigit 2006 - Present
Knight Capital Group 1995 - 2001
Knight Equity Markets 1995 - 2000
spear leeds & kellogg 1979 - 1994
Troster Singer Corp. 1977 - 1994
Education
State University of New York at New Paltz 1972 — 1977
bs, education
Chris Hempstead's Spear, Leeds & Kellogg Experience October 1993 - January 1997
Job Head of ETF Sales at KCG Holdings Inc
Industry Capital Markets
Experience
KCG Holdings, Inc. October 2013 - Present
WallachBeth Capital December 2011 - October 2013
Cowen and Company September 2009 - November 2011
Van der Moolen March 2008 - August 2009
Susquehanna International Group March 1999 - March 2008
Cranmer & Cranmer January 1997 - February 1999
Spear Leeds & Kellogg October 1993 - January 1997
Skills
ETFs, Trading, Microsoft Excel, Equities, Series 7, Risk Management, Equity Trading, Equity Derivatives, Electronic Trading, Program Trading, Market Making, Series 63
Education
Saint Bonaventure University 1989 — 1993
Bachelor of Business Administration (BBA), Finance, General
Christian Brother Academy 1985 — 1989
KCG Holdings, Inc. October 2013 - Present
WallachBeth Capital December 2011 - October 2013
Cowen and Company September 2009 - November 2011
Van der Moolen March 2008 - August 2009
Susquehanna International Group March 1999 - March 2008
Cranmer & Cranmer January 1997 - February 1999
Spear Leeds & Kellogg October 1993 - January 1997
Skills
ETFs, Trading, Microsoft Excel, Equities, Series 7, Risk Management, Equity Trading, Equity Derivatives, Electronic Trading, Program Trading, Market Making, Series 63
Education
Saint Bonaventure University 1989 — 1993
Bachelor of Business Administration (BBA), Finance, General
Christian Brother Academy 1985 — 1989
Frank Lee, CFA's Spear, Leeds & Kellogg Experience December 1999 - September 2002
Job Portfolio Manager
Industry Investment Management
Experience
Investment Management Firm November 2004 - Present
Frommer Investment Partners February 2003 - August 2004
Spear, Leeds & Kellogg December 1999 - September 2002
Prudential Securities February 1998 - September 1999
Education
University of Pennsylvania - The Wharton School 1994 — 1997
Investment Management Firm November 2004 - Present
Frommer Investment Partners February 2003 - August 2004
Spear, Leeds & Kellogg December 1999 - September 2002
Prudential Securities February 1998 - September 1999
Education
University of Pennsylvania - The Wharton School 1994 — 1997
David Warhoftig's Spear, Leeds & Kellogg Experience 1992 - 1995
Job VP Business Development & Govt Affairs Pavaso Inc. / Senior Securities Trader
Industry Financial Services
Experience
Pavaso August 2014 - Present
Hirzel Capital Management 2014 - 2014
Highside Capital Management 2006 - September 2013
Cambium Capital 2004 - 2006
JJC / Fleet Specialists 1992 - 2004
Spear Leeds & Kellogg 1992 - 1995
Skills
Hedge Funds, Equities, Bloomberg, Investments, Trading, Series 7, Equity Research, Equity Trading, Securities, Electronic Trading, Trading Systems, ETFs, Asset Management, Series 63, Alternative Investments, Derivatives, Portfolio Management, Equity Derivatives, Fund Of Funds, Trading Strategies, Technical Analysis
Education
Clarkson University 1988 — 1992
Bachelor of Science (B.S.), Economics and Political Science
George Washington High School 1985 — 1988
Pavaso August 2014 - Present
Hirzel Capital Management 2014 - 2014
Highside Capital Management 2006 - September 2013
Cambium Capital 2004 - 2006
JJC / Fleet Specialists 1992 - 2004
Spear Leeds & Kellogg 1992 - 1995
Skills
Hedge Funds, Equities, Bloomberg, Investments, Trading, Series 7, Equity Research, Equity Trading, Securities, Electronic Trading, Trading Systems, ETFs, Asset Management, Series 63, Alternative Investments, Derivatives, Portfolio Management, Equity Derivatives, Fund Of Funds, Trading Strategies, Technical Analysis
Education
Clarkson University 1988 — 1992
Bachelor of Science (B.S.), Economics and Political Science
George Washington High School 1985 — 1988
John Hummler's Spear, Leeds & Kellogg Experience June 1994 - January 1998
Job Financial Analyst and Investment Management Professional
Industry Financial Services
Experience
John E Hummler @ Litespeed Institutional LLC March 2012 - Present
John E Hummler @ V TRADER PRO LLC February 2006 - February 2012
Jefferies & Company April 2003 - April 2004
J.P. Capital LLC @ Andover Trading March 2000 - March 2003
JGM Securities LLC January 1998 - March 2000
Spear, Leeds & Kellogg June 1994 - January 1998
American Stock Exchange January 1992 - June 1994
Highland Securities 1986 - 1992
Fossett Corporation 1985 - 1986
Advest 1983 - 1985
Skills
Electronic Trading, Equity Derivatives, Portfolio Management, Traders, Series 7, Market Making, Financial Modeling, Hedging, Arbitrage, Valuation, Derivatives, Series 63, Financial Analysis, Financial Markets, Alternative Investments, Special Situations, Fundamental Analysis, High Yield, Securities, Hedge Funds, Equities
Education
Miami University 1976 — 1980
Bachelor of Science Business Administration, Finance and Accounting
Certified Financial Institute preparation Class
John E Hummler @ Litespeed Institutional LLC March 2012 - Present
John E Hummler @ V TRADER PRO LLC February 2006 - February 2012
Jefferies & Company April 2003 - April 2004
J.P. Capital LLC @ Andover Trading March 2000 - March 2003
JGM Securities LLC January 1998 - March 2000
Spear, Leeds & Kellogg June 1994 - January 1998
American Stock Exchange January 1992 - June 1994
Highland Securities 1986 - 1992
Fossett Corporation 1985 - 1986
Advest 1983 - 1985
Skills
Electronic Trading, Equity Derivatives, Portfolio Management, Traders, Series 7, Market Making, Financial Modeling, Hedging, Arbitrage, Valuation, Derivatives, Series 63, Financial Analysis, Financial Markets, Alternative Investments, Special Situations, Fundamental Analysis, High Yield, Securities, Hedge Funds, Equities
Education
Miami University 1976 — 1980
Bachelor of Science Business Administration, Finance and Accounting
Certified Financial Institute preparation Class
Walker Williams's Spear, Leeds & Kellogg Experience 2001 - 2002
Job President The Cavalry Flood + Fire Restoration
Industry Construction
Experience
The Cavalry Flood + Fire Restoration October 2005 - Present
Wachovia, A Wells Fargo Company 2003 - 2005
Spear Leeds & Kellogg 2001 - 2002
Skills
Small Business, Risk Management, Sales Management, Mold Remediation, New Business Development, Insurance, Team Building, Fire Management, Financial Analysis, Strategic Planning, Customer Service
Education
University of South Carolina - Darla Moore School of Business 1999 — 2001
MBA, Finance
The University of Georgia 1990 — 1995
BBA, Finance
Hammond School 1977 — 1990
High School
The Cavalry Flood + Fire Restoration October 2005 - Present
Wachovia, A Wells Fargo Company 2003 - 2005
Spear Leeds & Kellogg 2001 - 2002
Skills
Small Business, Risk Management, Sales Management, Mold Remediation, New Business Development, Insurance, Team Building, Fire Management, Financial Analysis, Strategic Planning, Customer Service
Education
University of South Carolina - Darla Moore School of Business 1999 — 2001
MBA, Finance
The University of Georgia 1990 — 1995
BBA, Finance
Hammond School 1977 — 1990
High School
Shaun Broderick's Spear, Leeds & Kellogg Experience August 1993 - August 1995
Job Financial Services Professional
Industry Financial Services
Experience
Cantor Fitzgerald July 2007 - January 2008
Northshore Diversified Fund LP August 2001 - July 2007
UBS August 1995 - August 2001
Spear Leeds & Kellogg August 1993 - August 1995
Rogers & Wells January 1989 - August 1993
Greenbaum, Rowe, Smith & Davis LLP January 1987 - January 1989
Deloitte Haskin & Sells August 1984 - August 1986
Education
New York University School of Law 1986 — 1987
LLM, Taxation
Seton Hall University School of Law 1981 — 1984
JD, General Law
Rutgers University-New Brunswick 1977 — 1981
BS, Accounting
Cantor Fitzgerald July 2007 - January 2008
Northshore Diversified Fund LP August 2001 - July 2007
UBS August 1995 - August 2001
Spear Leeds & Kellogg August 1993 - August 1995
Rogers & Wells January 1989 - August 1993
Greenbaum, Rowe, Smith & Davis LLP January 1987 - January 1989
Deloitte Haskin & Sells August 1984 - August 1986
Education
New York University School of Law 1986 — 1987
LLM, Taxation
Seton Hall University School of Law 1981 — 1984
JD, General Law
Rutgers University-New Brunswick 1977 — 1981
BS, Accounting
Patrick Chung's Spear, Leeds & Kellogg Experience 2000 - 2001
Job Business Relationship Manager at Express Scripts
Industry Information Technology and Services
Experience
Express Scripts 2012 - Present
Medco Health Solutions 2008 - 2012
Goldman Sachs 2001 - 2008
Spear Leeds & Kellogg 2000 - 2001
Skills
Equities, Finance, Equity Trading, Hedge Funds, Trading, Fixed Income
Education
Rutgers University-New Brunswick 1996 — 2000
Express Scripts 2012 - Present
Medco Health Solutions 2008 - 2012
Goldman Sachs 2001 - 2008
Spear Leeds & Kellogg 2000 - 2001
Skills
Equities, Finance, Equity Trading, Hedge Funds, Trading, Fixed Income
Education
Rutgers University-New Brunswick 1996 — 2000
Jim Lamke's Spear, Leeds & Kellogg Experience June 1996 - December 2000
Job Senior Vice President CoChief Compliance Officer/Sell Side at Sanford C. Bernstein
Industry Financial Services
Experience
Sanford C. Bernstein & Co., LLC July 2008 - Present
Bear Stearns & Co March 2006 - July 2008
Banc of America Securities LLC June 2005 - March 2006
BASS Trading (Currently BTIG) June 2003 - June 2005
Goldman Sachs / Spear Leeds & Kellogg June 1996 - April 2003
Spear, Leeds & Kellogg June 1996 - December 2000
NASD June 1989 - June 1996
NASD 1989 - 1996
Skills
Securities, Equities, Risk Management, Capital Markets, Fixed Income, Options, Trading, Derivatives, Portfolio Management, Trading Systems, Equity Trading, Financial Risk
Education
The Johns Hopkins University - Carey Business School 1994 — 1997
MS, Business Administration and Management, General
University of Maryland University College 1989 — 1991
BS, Business
Sanford C. Bernstein & Co., LLC July 2008 - Present
Bear Stearns & Co March 2006 - July 2008
Banc of America Securities LLC June 2005 - March 2006
BASS Trading (Currently BTIG) June 2003 - June 2005
Goldman Sachs / Spear Leeds & Kellogg June 1996 - April 2003
Spear, Leeds & Kellogg June 1996 - December 2000
NASD June 1989 - June 1996
NASD 1989 - 1996
Skills
Securities, Equities, Risk Management, Capital Markets, Fixed Income, Options, Trading, Derivatives, Portfolio Management, Trading Systems, Equity Trading, Financial Risk
Education
The Johns Hopkins University - Carey Business School 1994 — 1997
MS, Business Administration and Management, General
University of Maryland University College 1989 — 1991
BS, Business
Cliff Ris's Spear, Leeds & Kellogg Experience 1994 - 2000
Job Associate Director at Bear Stearns
Industry Accounting
Experience
Bear Stearns AssosciateJP Morgan2008 - Present
JPMorgan Chase 2008 - Present
J.P. Morgan 2008 - Present
Spear Leeds & Kellogg 1994 - 2000
Education
St. Francis College 1989 — 1993
Bear Stearns AssosciateJP Morgan2008 - Present
JPMorgan Chase 2008 - Present
J.P. Morgan 2008 - Present
Spear Leeds & Kellogg 1994 - 2000
Education
St. Francis College 1989 — 1993
Jesse Parroco's Spear, Leeds & Kellogg Experience October 1999 - August 2002
Job Information Systems Engineer at Charles Schwab
Industry Financial Services
Experience
Citi May 2012 - Present
Charles Schwab March 2008 - May 2012
Charles Schwab May 2005 - March 2008
Deutsche Bank September 2004 - December 2004
Citigroup (Smith Barney) June 2004 - August 2004
Spear, Leeds & Kellogg October 1999 - August 2002
Skills
Blackberry Enterprise..., Citrix, Microsoft Exchange, XP, Disaster Recovery, System Deployment, System Administration, Project Management, Servers, Cisco Technologies, Windows XP, Windows, Help Desk Support, Technical Support, Infrastructure
Education
Bentley College - Elkin B. McCallum Graduate School of Business 2002 — 2004
MBA, Information Systems
New York University 1994 — 1999
BA, Computer Science
Citi May 2012 - Present
Charles Schwab March 2008 - May 2012
Charles Schwab May 2005 - March 2008
Deutsche Bank September 2004 - December 2004
Citigroup (Smith Barney) June 2004 - August 2004
Spear, Leeds & Kellogg October 1999 - August 2002
Skills
Blackberry Enterprise..., Citrix, Microsoft Exchange, XP, Disaster Recovery, System Deployment, System Administration, Project Management, Servers, Cisco Technologies, Windows XP, Windows, Help Desk Support, Technical Support, Infrastructure
Education
Bentley College - Elkin B. McCallum Graduate School of Business 2002 — 2004
MBA, Information Systems
New York University 1994 — 1999
BA, Computer Science
James Lamke's Spear, Leeds & Kellogg Experience June 1996 - December 2000
Job Senior Vice President Director Global Compliance/CoChief Compliance Officer at Sanford C. Bernstein
Industry Financial Services
Experience
Sanford C. Bernstein July 2008 - Present
Bear Stearns March 2006 - July 2008
Banc of America Securities LLC June 2005 - March 2006
BASS Trading (Currently BTIG) June 2003 - June 2005
Goldman Sach / Spear, Leeds & Kellogg June 1996 - May 2003
Spear, Leeds & Kellogg June 1996 - December 2000
NASD (Currently FINRA) June 1989 - June 1996
Education
The Johns Hopkins University - Carey Business School 1995 — 1997
University of Maryland University College 1989 — 1991
BS, Business
Sanford C. Bernstein July 2008 - Present
Bear Stearns March 2006 - July 2008
Banc of America Securities LLC June 2005 - March 2006
BASS Trading (Currently BTIG) June 2003 - June 2005
Goldman Sach / Spear, Leeds & Kellogg June 1996 - May 2003
Spear, Leeds & Kellogg June 1996 - December 2000
NASD (Currently FINRA) June 1989 - June 1996
Education
The Johns Hopkins University - Carey Business School 1995 — 1997
University of Maryland University College 1989 — 1991
BS, Business
Jay Woods's Spear, Leeds & Kellogg Experience July 1992 - August 2000
Job Vice President at Goldman Sachs
Industry Financial Services
Experience
Goldman Sachs August 2000 - Present
Spear Leeds & Kellogg July 1992 - August 2000
Skills
Series 63, Equities, Capital Markets, Series 7, Electronic Trading, Equity Trading, Bloomberg, Options, Trading Systems, Securities, Hedge Funds, Trading, Fixed Income, FINRA, Investments, ETFs, Technical Analysis
Education
Fordham University 1988 — 1992
BA
St. Joseph's Prep 1984 — 1988
Goldman Sachs August 2000 - Present
Spear Leeds & Kellogg July 1992 - August 2000
Skills
Series 63, Equities, Capital Markets, Series 7, Electronic Trading, Equity Trading, Bloomberg, Options, Trading Systems, Securities, Hedge Funds, Trading, Fixed Income, FINRA, Investments, ETFs, Technical Analysis
Education
Fordham University 1988 — 1992
BA
St. Joseph's Prep 1984 — 1988
Yossi Gourarie's Spear, Leeds & Kellogg Experience January 1986 - January 1988
Job Director Live Poultry Operations at Agri Star Meat & Poultry LLC
Industry Food Production
Experience
Agri Star Meat & Poultry LLC August 2009 - Present
Agriprocessors, Inc January 1995 - August 2009
Agriprocessors, Inc January 1993 - January 1995
Agriprocessors, Inc January 1990 - January 1993
ADP January 1988 - January 1990
Spear, Leeds & Kellogg January 1986 - January 1988
Davidsohn Group January 1984 - January 1988
Skills
Visual Foxpro, Microsoft Excel, Database Design, Visual Basic, Livestock Management, Purchasing, FoxPro, Poultry, Analysis, Livestock, Leadership, Animal Nutrition, Databases, Management, Agribusiness, Strategic Planning, Project Management, Strategy, Logistics, P&L Management, Food Processing, Ingredients, CRM, Agriculture, Food Industry, Food, Food Safety, Financial Analysis, Team Building, Microsoft Office, Negotiation
Education
LIU Brooklyn 1984 — 1987
MBA, Finance
Yeshiva Torath Emeth 1970 — 1973
Matriculation, Biology & Physical Science
Yeshiva College High School 1969 — 1969
Sea Point Boys Junior 1963 — 1968
Agri Star Meat & Poultry LLC August 2009 - Present
Agriprocessors, Inc January 1995 - August 2009
Agriprocessors, Inc January 1993 - January 1995
Agriprocessors, Inc January 1990 - January 1993
ADP January 1988 - January 1990
Spear, Leeds & Kellogg January 1986 - January 1988
Davidsohn Group January 1984 - January 1988
Skills
Visual Foxpro, Microsoft Excel, Database Design, Visual Basic, Livestock Management, Purchasing, FoxPro, Poultry, Analysis, Livestock, Leadership, Animal Nutrition, Databases, Management, Agribusiness, Strategic Planning, Project Management, Strategy, Logistics, P&L Management, Food Processing, Ingredients, CRM, Agriculture, Food Industry, Food, Food Safety, Financial Analysis, Team Building, Microsoft Office, Negotiation
Education
LIU Brooklyn 1984 — 1987
MBA, Finance
Yeshiva Torath Emeth 1970 — 1973
Matriculation, Biology & Physical Science
Yeshiva College High School 1969 — 1969
Sea Point Boys Junior 1963 — 1968
Brenden King's Spear, Leeds & Kellogg Experience 1990 - 2001
Job Corporate Foreign Exchange at Western Union Business Solutions
Industry Financial Services
Experience
Western Union Business Solutions March 2011 - Present
Big Blue Trading July 2008 - December 2009
Goldman Sachs 2002 - 2008
Spear Leeds & Kellogg 1990 - 2001
Skills
Negotiation, Risk Management, Foreign Exchange
Education
Union County College 1981 — 1982
Liberal Arts
Western Union Business Solutions March 2011 - Present
Big Blue Trading July 2008 - December 2009
Goldman Sachs 2002 - 2008
Spear Leeds & Kellogg 1990 - 2001
Skills
Negotiation, Risk Management, Foreign Exchange
Education
Union County College 1981 — 1982
Liberal Arts
Kent A Ravaioli's Spear, Leeds & Kellogg Experience January 1990 - August 2000
Job CEO at NewGen Restores Inc.
Industry Consumer Services
Experience
NewGen Restores Inc. January 2015 - Present
Wells Fargo Bank July 2010 - December 2014
Wachovia, A Wells Fargo Company July 2010 - March 2011
JPMorgan Chase February 2009 - August 2010
Cohen Specialists L.L.C. September 2004 - October 2008
Performance Specialist Group L.L.C. September 2000 - September 2004
Spear Leeds & Kellogg January 1990 - August 2000
Skills
Financial Management, Sales Management, Direct Sales, Series 7, Investments, Series 63, Wealth Management, Banking, Strategic Financial..., Portfolio Management, Options, Financial Analysis, Securities, Asset Managment, Asset Allocation, Equities, Derivatives, Risk Management, Insurance, Loans, Managerial Finance, Cash Management, Alternative Investments, Finance, Mortgage Lending, Credit Analysis, Investment Banking, Asset Management, Mutual Funds, Investment Advisory, Business Development, Investment Strategies, Retirement Planning, Small Business, Trading, Fixed Income, Relationship Management
Education
University of Phoenix 2008 — 2012
B.S., Accounting / Finance
Greico Financial 2007 — 2008
Series 7, 63 & 66., FINRA / Registered Representative
New York Institute of Finance 2006 — 2007
none, Technical Analysis & Advanced Technical Analysis
Middlesex County College
AS, Electrical Engineering
NewGen Restores Inc. January 2015 - Present
Wells Fargo Bank July 2010 - December 2014
Wachovia, A Wells Fargo Company July 2010 - March 2011
JPMorgan Chase February 2009 - August 2010
Cohen Specialists L.L.C. September 2004 - October 2008
Performance Specialist Group L.L.C. September 2000 - September 2004
Spear Leeds & Kellogg January 1990 - August 2000
Skills
Financial Management, Sales Management, Direct Sales, Series 7, Investments, Series 63, Wealth Management, Banking, Strategic Financial..., Portfolio Management, Options, Financial Analysis, Securities, Asset Managment, Asset Allocation, Equities, Derivatives, Risk Management, Insurance, Loans, Managerial Finance, Cash Management, Alternative Investments, Finance, Mortgage Lending, Credit Analysis, Investment Banking, Asset Management, Mutual Funds, Investment Advisory, Business Development, Investment Strategies, Retirement Planning, Small Business, Trading, Fixed Income, Relationship Management
Education
University of Phoenix 2008 — 2012
B.S., Accounting / Finance
Greico Financial 2007 — 2008
Series 7, 63 & 66., FINRA / Registered Representative
New York Institute of Finance 2006 — 2007
none, Technical Analysis & Advanced Technical Analysis
Middlesex County College
AS, Electrical Engineering
Alphonso Croom's Spear, Leeds & Kellogg Experience 1997 - 2001
Job Engagement Director at Eden Technologies
Industry Information Technology and Services
Experience
Eden Technologies August 2014 - Present
Croom Video Services 2004 - Present
Goldman Sachs 2001 - 2014
Spear Leeds & Kellogg 1997 - 2001
Drexel Burnham Lambert 1986 - 1991
Skills
Vendor Management, IT Strategy, Disaster Recovery, Management, Enterprise Architecture, Data Center, Trading Systems, Program Management, Business Analysis, Business Continuity, Video Production, Video Editing, Videography, Audio Editing, Project Management, Low Latency, Perl, Unix, System Administration, Equities, Investment Banking, Exchange Connectivity, Risk Management, Distributed Systems, Integration, Strategy, Databases, Cloud Computing, SDLC
Education
Pepperdine University, The George L. Graziadio School of Business and Management 1988 — 1990
Master of Business Administration (M.B.A.), Finance, General
Dartmouth College
BA in Engineering Sciences, Electrical and Electronics Engineering
Eden Technologies August 2014 - Present
Croom Video Services 2004 - Present
Goldman Sachs 2001 - 2014
Spear Leeds & Kellogg 1997 - 2001
Drexel Burnham Lambert 1986 - 1991
Skills
Vendor Management, IT Strategy, Disaster Recovery, Management, Enterprise Architecture, Data Center, Trading Systems, Program Management, Business Analysis, Business Continuity, Video Production, Video Editing, Videography, Audio Editing, Project Management, Low Latency, Perl, Unix, System Administration, Equities, Investment Banking, Exchange Connectivity, Risk Management, Distributed Systems, Integration, Strategy, Databases, Cloud Computing, SDLC
Education
Pepperdine University, The George L. Graziadio School of Business and Management 1988 — 1990
Master of Business Administration (M.B.A.), Finance, General
Dartmouth College
BA in Engineering Sciences, Electrical and Electronics Engineering
Marco Palomba's Spear, Leeds & Kellogg Experience February 1999 - November 2003
Job Senior Vice President, Market Oversight
Industry Capital Markets
Experience
IntercontinentalExchange, Inc. NYSE Regulation May 2013 - Present
Goldman Sachs & Co November 2003 - May 2013
Spear Leeds & Kellogg February 1999 - November 2003
New York Stock Exchange Regulation (currently FINRA) July 1994 - February 1999
New York State Supreme Court June 1993 - August 1993
Pillsbury Winthrop Shaw Pittman LLP June 1992 - August 1992
Kaye Scholer LLP June 1991 - August 1991
Skills
Trading, Risk Management, Derivatives, Finance, Compliance, Equities, Market Structure, Market Regulation, Surveillance, FINRA, Internal Controls, High Frequency Trading, Quantitative Analytics, Legal, Market Making, Trading Systems
Education
New York Law School 1997 — 2001
JD, Law
Boston University 1990 — 1994
BSBA, CPA, Accounting
IntercontinentalExchange, Inc. NYSE Regulation May 2013 - Present
Goldman Sachs & Co November 2003 - May 2013
Spear Leeds & Kellogg February 1999 - November 2003
New York Stock Exchange Regulation (currently FINRA) July 1994 - February 1999
New York State Supreme Court June 1993 - August 1993
Pillsbury Winthrop Shaw Pittman LLP June 1992 - August 1992
Kaye Scholer LLP June 1991 - August 1991
Skills
Trading, Risk Management, Derivatives, Finance, Compliance, Equities, Market Structure, Market Regulation, Surveillance, FINRA, Internal Controls, High Frequency Trading, Quantitative Analytics, Legal, Market Making, Trading Systems
Education
New York Law School 1997 — 2001
JD, Law
Boston University 1990 — 1994
BSBA, CPA, Accounting
Charles DellaPenna's Spear, Leeds & Kellogg Experience January 1987 - November 1999
Job Head Trader for Amici Capital LLC
Industry Capital Markets
Experience
Amici Capital LLC November 1999 - Present
Spear Leeds & Kellogg January 1987 - November 1999
Skills
Hedge Funds, Equity Trading, FX trading, Options, Electronic Trading, International Equity...
Education
Stephen F. Austin State University 1981 — 1985
Alkief Elsik High School 1977 — 1981
12
Amici Capital LLC November 1999 - Present
Spear Leeds & Kellogg January 1987 - November 1999
Skills
Hedge Funds, Equity Trading, FX trading, Options, Electronic Trading, International Equity...
Education
Stephen F. Austin State University 1981 — 1985
Alkief Elsik High School 1977 — 1981
12
Frank Lieggi's Spear, Leeds & Kellogg Experience October 1985 - November 2000
Job Operations Analyst at New York Stock Exchange
Industry Information Technology and Services
Experience
New York Stock Exchange 2012 - Present
Statue Cruises 2011 - 2012
The Transaction Auditing Group 2009 - 2011
Goldman Sachs November 2000 - November 2008
Spear Leeds & Kellogg October 1985 - November 2000
Skills
Unix, DB2, Database Design, COBOL, Integration, Sybase, Electronic Trading, CICS, Mainframe, Program Management, Software Upgrades, Troubleshooting, Client Interface, System Maintenance, Operations Support, Electronic Trading..., Report Generation, Databases, System Monitoring
Education
New York University 1986 — 1988
Computers
New York Stock Exchange 2012 - Present
Statue Cruises 2011 - 2012
The Transaction Auditing Group 2009 - 2011
Goldman Sachs November 2000 - November 2008
Spear Leeds & Kellogg October 1985 - November 2000
Skills
Unix, DB2, Database Design, COBOL, Integration, Sybase, Electronic Trading, CICS, Mainframe, Program Management, Software Upgrades, Troubleshooting, Client Interface, System Maintenance, Operations Support, Electronic Trading..., Report Generation, Databases, System Monitoring
Education
New York University 1986 — 1988
Computers
Susana Das's Spear, Leeds & Kellogg Experience April 2000 - October 2002
Job Vice President Risk and Control Americas
Industry Financial Services
Experience
Deustche Bank May 2015 - Present
Morgan Stanley July 2012 - Present
Morgan Stanley September 2010 - July 2012
Morgan Stanley March 2009 - September 2010
Morgan Stanley Prime Brokerage May 2007 - March 2009
Morgan Stanley April 2004 - May 2007
Promethean Investment Capital March 2003 - April 2004
Spear, Leeds & Kellogg April 2000 - October 2002
Skills
Prime Brokerage, Fixed Income, Equities, Hedge Funds, Derivatives, Series 7, Capital Markets, Project Management, PMP, Risk Management, Operations Management
Education
Hofstra University 1998 — 2000
Master of Science (MS), Elementary Education and Teaching
Hofstra University 1995 — 1997
Bachelor of Arts (B.A.), Liberal Arts and Sciences/Liberal Studies
Deustche Bank May 2015 - Present
Morgan Stanley July 2012 - Present
Morgan Stanley September 2010 - July 2012
Morgan Stanley March 2009 - September 2010
Morgan Stanley Prime Brokerage May 2007 - March 2009
Morgan Stanley April 2004 - May 2007
Promethean Investment Capital March 2003 - April 2004
Spear, Leeds & Kellogg April 2000 - October 2002
Skills
Prime Brokerage, Fixed Income, Equities, Hedge Funds, Derivatives, Series 7, Capital Markets, Project Management, PMP, Risk Management, Operations Management
Education
Hofstra University 1998 — 2000
Master of Science (MS), Elementary Education and Teaching
Hofstra University 1995 — 1997
Bachelor of Arts (B.A.), Liberal Arts and Sciences/Liberal Studies
Andrew I. DeMarco's Spear, Leeds & Kellogg Experience March 1991 - June 2000
Job Operations Specialist at Franklin Street Partners
Industry Investment Banking
Experience
Franklin Street Partners October 2014 - Present
MJJ DeMarco LLC April 2013 - Present
GOLDMAN SACHS & Co July 2000 - October 2011
SPEAR, LEEDS & KELLOGG March 1991 - June 2000
Skills
Electronic Trading, Equities, Trading Systems, Prime Brokerage, Equity Trading, Trading, Capital Markets, Commodity, Back Office, Bloomberg, Securities, Investments, Options, Series 7, Financial Markets, Hedge Funds, Asset Management, Series 63, Fixed Income, Bonds, Asset Allocation, Derivatives, Traders, Sales, Entrepreneurship, Order Management, Alternative Investments
Education
Nassau Community College 1989 — 1991
Associates Degree, Business Management
Molloy College 1987 — 1989
Franklin Street Partners October 2014 - Present
MJJ DeMarco LLC April 2013 - Present
GOLDMAN SACHS & Co July 2000 - October 2011
SPEAR, LEEDS & KELLOGG March 1991 - June 2000
Skills
Electronic Trading, Equities, Trading Systems, Prime Brokerage, Equity Trading, Trading, Capital Markets, Commodity, Back Office, Bloomberg, Securities, Investments, Options, Series 7, Financial Markets, Hedge Funds, Asset Management, Series 63, Fixed Income, Bonds, Asset Allocation, Derivatives, Traders, Sales, Entrepreneurship, Order Management, Alternative Investments
Education
Nassau Community College 1989 — 1991
Associates Degree, Business Management
Molloy College 1987 — 1989
Evan Goldman's Spear, Leeds & Kellogg Experience 1993 - 2001
Job Financial Services Professional
Industry Financial Services
Experience
Keystone Trading Group May 2007 - September 2008
HLV Capital Inc. September 2006 - April 2007
Taurus Capital LLC. November 2004 - August 2005
Mako Global Derivatives November 2002 - December 2003
SLK Hull Derivatives November 2001 - July 2002
Spear Leeds & Kellogg 1993 - 2001
Sierra Investment Securities Inc. January 1990 - October 1990
Education
University at Albany, SUNY 1981 — 1985
BS, Economics/Business
Keystone Trading Group May 2007 - September 2008
HLV Capital Inc. September 2006 - April 2007
Taurus Capital LLC. November 2004 - August 2005
Mako Global Derivatives November 2002 - December 2003
SLK Hull Derivatives November 2001 - July 2002
Spear Leeds & Kellogg 1993 - 2001
Sierra Investment Securities Inc. January 1990 - October 1990
Education
University at Albany, SUNY 1981 — 1985
BS, Economics/Business
John Viteritti's Spear, Leeds & Kellogg Experience May 1995 - February 2002
Job Personal Banker, Wells Fargo
Industry Financial Services
Experience
Maxim Group, LLC June 2011 - May 2014
Axiom Capital Management November 2009 - June 2011
Rodman & Renshaw September 2005 - November 2009
Spear, Leeds & Kellogg May 1995 - February 2002
Robb, Peck & McCooey January 1994 - April 1995
Oppenheimer & Co. January 1992 - December 1993
Skills
Trading, Series 7, Equities, Securities, Series 63, Capital Markets, Hedge Funds, Bloomberg, Fixed Income, Equity Trading, Electronic Trading, Investment Banking, Options, Trading Systems, Investments, Financial Markets, FINRA, Alternative Investments, Asset Management, Equity Research
Education
The Catholic University of America 1987 — 1990
BA, Politics
Maxim Group, LLC June 2011 - May 2014
Axiom Capital Management November 2009 - June 2011
Rodman & Renshaw September 2005 - November 2009
Spear, Leeds & Kellogg May 1995 - February 2002
Robb, Peck & McCooey January 1994 - April 1995
Oppenheimer & Co. January 1992 - December 1993
Skills
Trading, Series 7, Equities, Securities, Series 63, Capital Markets, Hedge Funds, Bloomberg, Fixed Income, Equity Trading, Electronic Trading, Investment Banking, Options, Trading Systems, Investments, Financial Markets, FINRA, Alternative Investments, Asset Management, Equity Research
Education
The Catholic University of America 1987 — 1990
BA, Politics
Rory Griffin's Spear, Leeds & Kellogg Experience 1997 - 1999
Job Completed agressive studies at AVTech
Industry Information Technology and Services
Experience
Primerica Financial Services February 2009 - June 2011
Bank of New York Mellon February 1999 - December 2008
The Bank of New York 1999 - 2005
Spear, Leeds & Kellogg 1997 - 1999
Merrill Lynch 1994 - 1997
ADP Brokerage / Broadridge 1978 - 1994
Restoration Christian Fellowship 1988 - 1993
Skills
SDLC, Software Project..., Process Improvement, Integration, Software Documentation, Business Process..., Software Development, Team Building, Quality Assurance, Project Management, Disaster Recovery, Management, Security, Business Analysis, Training, Leadership, Information Technology, Requirements Analysis, Software Process..., Visio, Vendor Management, Program Management, IT Strategy, RACI, Maturity Models, Microsoft Word, Microsoft Excel, PowerPoint, Microsoft Office, Agile & Waterfall..., SharePoint, LibreOffice, Ubuntu, CMMI, Coaching & Mentoring, Analysis, Requirements Management, Functional Requirements, Stakeholder Management, Consulting
Education
AVTech 2014 — 2015
Project Management/Business Analyst
City University of New York-College of Staten Island 1971 — 1972
Computer Science
AVTech
Primerica Financial Services February 2009 - June 2011
Bank of New York Mellon February 1999 - December 2008
The Bank of New York 1999 - 2005
Spear, Leeds & Kellogg 1997 - 1999
Merrill Lynch 1994 - 1997
ADP Brokerage / Broadridge 1978 - 1994
Restoration Christian Fellowship 1988 - 1993
Skills
SDLC, Software Project..., Process Improvement, Integration, Software Documentation, Business Process..., Software Development, Team Building, Quality Assurance, Project Management, Disaster Recovery, Management, Security, Business Analysis, Training, Leadership, Information Technology, Requirements Analysis, Software Process..., Visio, Vendor Management, Program Management, IT Strategy, RACI, Maturity Models, Microsoft Word, Microsoft Excel, PowerPoint, Microsoft Office, Agile & Waterfall..., SharePoint, LibreOffice, Ubuntu, CMMI, Coaching & Mentoring, Analysis, Requirements Management, Functional Requirements, Stakeholder Management, Consulting
Education
AVTech 2014 — 2015
Project Management/Business Analyst
City University of New York-College of Staten Island 1971 — 1972
Computer Science
AVTech
Russ Irardy's Spear, Leeds & Kellogg Experience 1987 - 2001
Job Experienced Senior Network Manager
Industry Financial Services
Experience
Bank of America/Merrill Lynch December 2011 - Present
RJISI.COM June 2009 - November 2011
Goldman Sachs 2001 - 2009
Spear, Leeds & Kellogg 1987 - 2001
Skills
Asset Management, Bloomberg, Agile Project Management, Budgets, Business Development, Business Planning, Capital Markets, Data Center, Disaster Recovery, Electronic Trading, Enterprise Software, Equities, Executive Management, Financial Services, Fixed Income, Governance, Hedge Funds, IT Management, IT Strategy, ITIL, Infrastructure, Investment Banking, Leadership, Low Latency, Management, Market Data, Negotiation, Network Design, Network Security, Networking, Options, Portfolio Management, Process Engineering, Project Management, Project Planning, Resource Management, Risk Management, SEO, Service Delivery, Strategic Planning, Telecommunications, Trading, Trading Systems, Vendor Management
Education
City University of New York-Brooklyn College
Bank of America/Merrill Lynch December 2011 - Present
RJISI.COM June 2009 - November 2011
Goldman Sachs 2001 - 2009
Spear, Leeds & Kellogg 1987 - 2001
Skills
Asset Management, Bloomberg, Agile Project Management, Budgets, Business Development, Business Planning, Capital Markets, Data Center, Disaster Recovery, Electronic Trading, Enterprise Software, Equities, Executive Management, Financial Services, Fixed Income, Governance, Hedge Funds, IT Management, IT Strategy, ITIL, Infrastructure, Investment Banking, Leadership, Low Latency, Management, Market Data, Negotiation, Network Design, Network Security, Networking, Options, Portfolio Management, Process Engineering, Project Management, Project Planning, Resource Management, Risk Management, SEO, Service Delivery, Strategic Planning, Telecommunications, Trading, Trading Systems, Vendor Management
Education
City University of New York-Brooklyn College
Josephine Parisi's Spear, Leeds & Kellogg Experience June 2000 - June 2001
Job Vice President
Industry Financial Services
Experience
Mike Parisi Tax Service January 2014 - Present
Joe Parisi Tax Service January 2000 - Present
Clear Channel Outdoor January 2007 - January 2014
Clear Channel Outdoor December 2001 - December 2006
Spear, Leeds & Kellogg June 2000 - June 2001
Skills
Advertising, Accounting, Account Management, Microsoft Excel, Accounts Receivable, Finance, Accounts Payable, Microsoft Office, Financial Analysis, Financial Reporting
Education
St. Francis College 1996 — 2000
Bachelor of Science (B.S.), Business Administration and Management, General
Bishop Kearney High School
Mike Parisi Tax Service January 2014 - Present
Joe Parisi Tax Service January 2000 - Present
Clear Channel Outdoor January 2007 - January 2014
Clear Channel Outdoor December 2001 - December 2006
Spear, Leeds & Kellogg June 2000 - June 2001
Skills
Advertising, Accounting, Account Management, Microsoft Excel, Accounts Receivable, Finance, Accounts Payable, Microsoft Office, Financial Analysis, Financial Reporting
Education
St. Francis College 1996 — 2000
Bachelor of Science (B.S.), Business Administration and Management, General
Bishop Kearney High School
Stan O'Marra's Spear, Leeds & Kellogg Experience 1990 - 1996
Job Chief Data Officer at MassMutual Financial Group
Industry Financial Services
Experience
MassMutual Financial Group April 2013 - Present
CohnReznick LLP May 2012 - April 2013
ARTIO GLOBAL March 2007 - September 2011
Julius Baer November 2000 - March 2007
Dime Savings Bank March 1998 - November 2000
Credit Lyonnais December 1996 - March 1998
ING 1996 - 1996
Spear, Leeds & Kellogg 1990 - 1996
Pershing 1981 - 1990
Skills
T24 (Globus), Charles River, Eagle Investment Systems, MAS 500, MS Office Suite, Infogix, Concur, MAS500, Charles River IMS, Finance, Vendor Management, Data Management, Financial Analysis, Microsoft Office, Equities, Program Management, Governance, Financial Risk, Analytics, Account Reconciliation, Strategy, Business Analysis, Banking, Business Process, Analysis, Financial Services, Accounting, Project Planning, Data Warehousing, Investments
Education
Fordham University, Graduate School of Business
MBA, Finance
New York University
BS, Accounting
MassMutual Financial Group April 2013 - Present
CohnReznick LLP May 2012 - April 2013
ARTIO GLOBAL March 2007 - September 2011
Julius Baer November 2000 - March 2007
Dime Savings Bank March 1998 - November 2000
Credit Lyonnais December 1996 - March 1998
ING 1996 - 1996
Spear, Leeds & Kellogg 1990 - 1996
Pershing 1981 - 1990
Skills
T24 (Globus), Charles River, Eagle Investment Systems, MAS 500, MS Office Suite, Infogix, Concur, MAS500, Charles River IMS, Finance, Vendor Management, Data Management, Financial Analysis, Microsoft Office, Equities, Program Management, Governance, Financial Risk, Analytics, Account Reconciliation, Strategy, Business Analysis, Banking, Business Process, Analysis, Financial Services, Accounting, Project Planning, Data Warehousing, Investments
Education
Fordham University, Graduate School of Business
MBA, Finance
New York University
BS, Accounting
Henry Balke's Spear, Leeds & Kellogg Experience 1993 - 1994
Job application developer at Guardian Life Insurance
Industry Insurance
Experience
Guardian Life Insurance ProgrammerMerrill Lynch1997 - 1999
Depository Trust Company 1994 - 1997
Spear Leeds & Kellogg 1993 - 1994
Met Life 1989 - 1993
Goldstein Golub Kessler 1979 - 1982
Kidder Peabody 1979 - 1980
Ernst and Ernst 1978 - 1979
Education
Queens College 1975 — 1977
english
Berea College 1971 — 1972
Guardian Life Insurance ProgrammerMerrill Lynch1997 - 1999
Depository Trust Company 1994 - 1997
Spear Leeds & Kellogg 1993 - 1994
Met Life 1989 - 1993
Goldstein Golub Kessler 1979 - 1982
Kidder Peabody 1979 - 1980
Ernst and Ernst 1978 - 1979
Education
Queens College 1975 — 1977
english
Berea College 1971 — 1972
Charles Esposito's Spear, Leeds & Kellogg Experience October 1990 - September 2001
Job Sales Trader at Buckman, Buckman & Reid
Industry Financial Services
Experience
Buckman, Buckman & Reid June 2011 - Present
Goldman Sachs September 2001 - March 2004
Spear Leeds & Kellogg October 1990 - September 2001
Skills
Trading, Equity Trading, Electronic Trading, Hedge Funds, Financial Markets, Series 7, Proprietary Trading, Equity Derivatives, Options, Bloomberg, Series 63, Series 24, Equities, Securities, FINRA, Capital Markets, Trading Systems, Investments, Traders, Institutional Sales, Asset Management, Investment Banking, Sales
Education
University of San Diego 1978 — 1981
hard knocks
hard knocks
Buckman, Buckman & Reid June 2011 - Present
Goldman Sachs September 2001 - March 2004
Spear Leeds & Kellogg October 1990 - September 2001
Skills
Trading, Equity Trading, Electronic Trading, Hedge Funds, Financial Markets, Series 7, Proprietary Trading, Equity Derivatives, Options, Bloomberg, Series 63, Series 24, Equities, Securities, FINRA, Capital Markets, Trading Systems, Investments, Traders, Institutional Sales, Asset Management, Investment Banking, Sales
Education
University of San Diego 1978 — 1981
hard knocks
hard knocks
Bill Vitale's Spear, Leeds & Kellogg Experience April 1997 - February 2002
Job Managing Director, Head of Equity Trading at Maxim Group
Industry Capital Markets
Experience
Maxim Group Trading Room ManagerBrokerageAmerica2002 - 2004
Spear, Leeds & Kellogg April 1997 - February 2002
Skills
Trading, Equities, Equity Trading, Trading Systems, Series 7, Electronic Trading, Bloomberg, Hedge Funds, Securities, Series 63, ETFs, Financial Markets, Capital Markets, Series 24, Options, FINRA, Fixed Income
Education
Hofstra University
Maxim Group Trading Room ManagerBrokerageAmerica2002 - 2004
Spear, Leeds & Kellogg April 1997 - February 2002
Skills
Trading, Equities, Equity Trading, Trading Systems, Series 7, Electronic Trading, Bloomberg, Hedge Funds, Securities, Series 63, ETFs, Financial Markets, Capital Markets, Series 24, Options, FINRA, Fixed Income
Education
Hofstra University
Patrick J. Forbes's Spear, Leeds & Kellogg Experience June 1993 - June 1994
Job Puma Capital
Industry Financial Services
Experience
Puma Capital, LLC April 2015 - Present
Raymond C. Forbes & Co., Inc. February 1993 - April 2015
R.C.Forbes and Co.,Inc. August 1989 - April 2015
NativeOne Institutional Trading January 2011 - October 2013
HYY Forbes, LLC November 2002 - March 2003
E.H. Smith Jacobs & Co., Inc. May 1998 - November 2001
Spear, Leeds & Kellogg June 1993 - June 1994
Skills
Series 7, Series 63, Equities, Trading, series 4, series 55, series 12, Securities, Electronic Trading, Equity Trading, Investments, Hedge Funds, ETFs, Options, Financial Markets, Proprietary Trading, Trading Strategies, Investor Relations, Due Diligence, Hedging, Technical Analysis, Trading Systems, Alternative Investments, Capital Markets
Education
Denison University 1984 — 1988
BA, History
The Tilton School 1983 — 1984
Peddie School 1982 — 1983
Poly Prep 1977 — 1982
Puma Capital, LLC April 2015 - Present
Raymond C. Forbes & Co., Inc. February 1993 - April 2015
R.C.Forbes and Co.,Inc. August 1989 - April 2015
NativeOne Institutional Trading January 2011 - October 2013
HYY Forbes, LLC November 2002 - March 2003
E.H. Smith Jacobs & Co., Inc. May 1998 - November 2001
Spear, Leeds & Kellogg June 1993 - June 1994
Skills
Series 7, Series 63, Equities, Trading, series 4, series 55, series 12, Securities, Electronic Trading, Equity Trading, Investments, Hedge Funds, ETFs, Options, Financial Markets, Proprietary Trading, Trading Strategies, Investor Relations, Due Diligence, Hedging, Technical Analysis, Trading Systems, Alternative Investments, Capital Markets
Education
Denison University 1984 — 1988
BA, History
The Tilton School 1983 — 1984
Peddie School 1982 — 1983
Poly Prep 1977 — 1982
Christopher Hannon's Spear, Leeds & Kellogg Experience May 1998 - January 2005
Job High Yield Sales, BBVA Securities, Inc.
Industry Capital Markets
Experience
Canaccord Genuity Inc. October 2013 - April 2015
BBVA Securities 2015 - 2015
Stife Nicolaus & Co. September 2009 - July 2013
FTN Financial January 2005 - September 2009
Spear Leeds & Kellogg May 1998 - January 2005
Skills
Hedge Funds, Series 63, Equities, Investments, Fixed Income, Bloomberg, Bonds, Capital Markets, Securities, Trading, Electronic Trading, Alternative Investments, Derivatives, Series 24, Equity Research, Equity Derivatives, Trading Systems, Proprietary Trading
Education
Fordham University 1988 — 1992
B.A.
Canaccord Genuity Inc. October 2013 - April 2015
BBVA Securities 2015 - 2015
Stife Nicolaus & Co. September 2009 - July 2013
FTN Financial January 2005 - September 2009
Spear Leeds & Kellogg May 1998 - January 2005
Skills
Hedge Funds, Series 63, Equities, Investments, Fixed Income, Bloomberg, Bonds, Capital Markets, Securities, Trading, Electronic Trading, Alternative Investments, Derivatives, Series 24, Equity Research, Equity Derivatives, Trading Systems, Proprietary Trading
Education
Fordham University 1988 — 1992
B.A.
Doug Siegal's Spear, Leeds & Kellogg Experience January 1991 - 2002
Job Director of Sales at Stella & Chewy's
Industry Food Production
Experience
Stella & Chewy's 2005 - Present
Morgan Stanley January 2004 - January 2007
Spear, Leeds & Kellogg January 1991 - 2002
Skills
Consumer Products, Trade Shows, Merchandising, Retail, Sales, Sales Management, Product Development, Account Management, Forecasting, Inventory Management, Team Building, Marketing, Strategic Planning, Online Marketing, Management, Social Media Marketing, Customer Service, Key Account Development, Start-ups, Business Planning, Marketing Strategy, New Business Development
Education
Clark University 1986 — 1990
BA
Stella & Chewy's 2005 - Present
Morgan Stanley January 2004 - January 2007
Spear, Leeds & Kellogg January 1991 - 2002
Skills
Consumer Products, Trade Shows, Merchandising, Retail, Sales, Sales Management, Product Development, Account Management, Forecasting, Inventory Management, Team Building, Marketing, Strategic Planning, Online Marketing, Management, Social Media Marketing, Customer Service, Key Account Development, Start-ups, Business Planning, Marketing Strategy, New Business Development
Education
Clark University 1986 — 1990
BA
Michael Curti's Spear, Leeds & Kellogg Experience March 1980 - June 1983
Job PresidentCurti & Associates
Industry Financial Services
Experience
Curti & Associates August 2010 - Present
National City Bank April 2008 - April 2010
Professional Planners May 2002 - February 2008
Morgan Stanley September 2001 - May 2002
Oppenheimer December 1996 - August 2001
Bank of America (Security Pacific) June 1985 - December 1996
Marine Midland Bank June 1983 - August 1985
Spear Leeds & Kellogg March 1980 - June 1983
Merril Lynch July 1974 - March 1980
Skills
Fixed Annuities, Management, Bonds, Small Business, Investments, Securities, Customer Service, Banking
Education
City University of New York-Brooklyn College 1974 — 1984
No, Liberal Arts and Sciences/Liberal Studies
Curti & Associates August 2010 - Present
National City Bank April 2008 - April 2010
Professional Planners May 2002 - February 2008
Morgan Stanley September 2001 - May 2002
Oppenheimer December 1996 - August 2001
Bank of America (Security Pacific) June 1985 - December 1996
Marine Midland Bank June 1983 - August 1985
Spear Leeds & Kellogg March 1980 - June 1983
Merril Lynch July 1974 - March 1980
Skills
Fixed Annuities, Management, Bonds, Small Business, Investments, Securities, Customer Service, Banking
Education
City University of New York-Brooklyn College 1974 — 1984
No, Liberal Arts and Sciences/Liberal Studies
Seth T. Goldberg's Spear, Leeds & Kellogg Experience July 1995 - April 1998
Job VP of Business Development at ProSeeder Technologies
Industry Capital Markets
Experience
ProSeeder Technologies March 2015 - Present
GRM October 2010 - February 2015
Royal Imaging October 2003 - August 2010
Vuepoint September 2001 - June 2003
Maple Partners USA Inc November 1999 - January 2001
Bankers Trust / Deutsche Bank April 1998 - November 1999
Spear, Leeds & Kellogg July 1995 - April 1998
Skills
Salesforce.com, Solution Selling, Account Management, Lead Generation, Cold Calling, New Business Development, Partnership-building, ROI Justification, ROI Optimization, Selling, Document Imaging, Document Management, Direct Sales, Sales Presentations, Enterprise Software, Cloud Computing, Enterprise Content..., SaaS, Strategic Partnerships, Professional Services, B2B, Consulting, Sales Operations, Sales Process, Sales
Education
Ithaca College 1991 — 1995
BS Accounting, Accounting, Finance
Longmeadow High School 1987 — 1991
ProSeeder Technologies March 2015 - Present
GRM October 2010 - February 2015
Royal Imaging October 2003 - August 2010
Vuepoint September 2001 - June 2003
Maple Partners USA Inc November 1999 - January 2001
Bankers Trust / Deutsche Bank April 1998 - November 1999
Spear, Leeds & Kellogg July 1995 - April 1998
Skills
Salesforce.com, Solution Selling, Account Management, Lead Generation, Cold Calling, New Business Development, Partnership-building, ROI Justification, ROI Optimization, Selling, Document Imaging, Document Management, Direct Sales, Sales Presentations, Enterprise Software, Cloud Computing, Enterprise Content..., SaaS, Strategic Partnerships, Professional Services, B2B, Consulting, Sales Operations, Sales Process, Sales
Education
Ithaca College 1991 — 1995
BS Accounting, Accounting, Finance
Longmeadow High School 1987 — 1991
Christopher Lombardy's Spear, Leeds & Kellogg Experience August 1998 - March 2002
Job Member at Kinetic Partners
Industry Financial Services
Experience
Kinetic Partners September 2007 - Present
Société Générale Asset Management April 2004 - July 2005
Sadis & Goldberg LLP October 2002 - April 2004
Spear, Leeds & Kellogg August 1998 - March 2002
Education
St. Thomas University School of Law 1995 — 1998
Juris Doctor, Law
American University - Kogod School of Business 1993 — 1995
MBA, Finance and International Business
American University - Kogod School of Business 1989 — 1993
BSBA, Finance and International Business
Kinetic Partners September 2007 - Present
Société Générale Asset Management April 2004 - July 2005
Sadis & Goldberg LLP October 2002 - April 2004
Spear, Leeds & Kellogg August 1998 - March 2002
Education
St. Thomas University School of Law 1995 — 1998
Juris Doctor, Law
American University - Kogod School of Business 1993 — 1995
MBA, Finance and International Business
American University - Kogod School of Business 1989 — 1993
BSBA, Finance and International Business
Jim (今 朝) Wang (王)'s Spear, Leeds & Kellogg Experience January 2000 - January 2002
Job Adjunct Professor at Stevens Institute of Technology
Industry Capital Markets
Experience
Foochee Trading LLC April 2006 - Present
Stevens Institute of Technology January 2005 - Present
Kellogg Group 2004 - 2007
Societe Generale 2002 - 2004
Spear Leeds & Kellogg January 2000 - January 2002
Lehman Brothers 1997 - 2000
Skills
Market Making, Statistical Arbitrage, Trading Systems, Low Latency, Derivatives, Trading, Equities, Quantitative Finance, Financial Markets, Fixed Income, Options, Financial Engineering, Electronic Trading, VBA, Capital Markets, Hedge Funds, Trading Strategies
Education
New York University - Leonard N. Stern School of Business 1998 — 2001
MBA, Finance
Rutgers University-New Brunswick 1986 — 1990
Ph.D., Biomedical Engineering
East China Normal University 1980 — 1985
BS, Physics
Foochee Trading LLC April 2006 - Present
Stevens Institute of Technology January 2005 - Present
Kellogg Group 2004 - 2007
Societe Generale 2002 - 2004
Spear Leeds & Kellogg January 2000 - January 2002
Lehman Brothers 1997 - 2000
Skills
Market Making, Statistical Arbitrage, Trading Systems, Low Latency, Derivatives, Trading, Equities, Quantitative Finance, Financial Markets, Fixed Income, Options, Financial Engineering, Electronic Trading, VBA, Capital Markets, Hedge Funds, Trading Strategies
Education
New York University - Leonard N. Stern School of Business 1998 — 2001
MBA, Finance
Rutgers University-New Brunswick 1986 — 1990
Ph.D., Biomedical Engineering
East China Normal University 1980 — 1985
BS, Physics
Charles Yu's Spear, Leeds & Kellogg Experience 1984 - 1985
Job Senior IT Engineer at Express Scripts
Industry Pharmaceuticals
Experience
Express Scripts March 2013 - Present
Express Scripts April 2012 - March 2013
Medco Health Solutions October 1990 - March 2012
Kidder, Peabody & Co. June 1987 - October 1990
Shearson Lehman Brothers 1985 - 1987
Spear, Leeds & Kellogg 1984 - 1985
Skills
VSAM, TSO, JCL, Mainframe, COBOL, IBM Mainframe, DB2, SDSF, REXX, Application Development, Troubleshooting, SQL, OS/390, Problem Solving, z/OS, AbInitio/CICS, Mainview/CICS, Teredata/CICS, Hiperstation/CICS, Xpediter/CICS, AbendAid/CICS, Symdump/CICS, InterTest/CICS, CICS/TS 4.1, CICS Performance..., Omagamon/CICS, IPCS, TPX/Supper Session, Disaster Recovery
Education
Stevens Institute of Technology 1980 — 1982
MS, Computer Science
Fu-Jen Catholic University, Taiwan, R.O.C. 1973 — 1977
Bachelor of Arts (B.A.)
Express Scripts March 2013 - Present
Express Scripts April 2012 - March 2013
Medco Health Solutions October 1990 - March 2012
Kidder, Peabody & Co. June 1987 - October 1990
Shearson Lehman Brothers 1985 - 1987
Spear, Leeds & Kellogg 1984 - 1985
Skills
VSAM, TSO, JCL, Mainframe, COBOL, IBM Mainframe, DB2, SDSF, REXX, Application Development, Troubleshooting, SQL, OS/390, Problem Solving, z/OS, AbInitio/CICS, Mainview/CICS, Teredata/CICS, Hiperstation/CICS, Xpediter/CICS, AbendAid/CICS, Symdump/CICS, InterTest/CICS, CICS/TS 4.1, CICS Performance..., Omagamon/CICS, IPCS, TPX/Supper Session, Disaster Recovery
Education
Stevens Institute of Technology 1980 — 1982
MS, Computer Science
Fu-Jen Catholic University, Taiwan, R.O.C. 1973 — 1977
Bachelor of Arts (B.A.)
Paul Ragheb's Spear, Leeds & Kellogg Experience September 1995 - March 2000
Job CoFounder of Azimuth Capital Management and Senior Managing Director
Industry Investment Management
Experience
Azimuth Capital Management September 2004 - Present
R.H. Bluestein & Co. February 2000 - June 2004
Spear Leeds & Kellogg September 1995 - March 2000
Education
Albion College
Bachelor of Arts (B.A.), History/Economics
Azimuth Capital Management September 2004 - Present
R.H. Bluestein & Co. February 2000 - June 2004
Spear Leeds & Kellogg September 1995 - March 2000
Education
Albion College
Bachelor of Arts (B.A.), History/Economics
Anupam Ghose's Spear, Leeds & Kellogg Experience June 1994 - December 2000
Job Managing Partner at System Two Advisors, LP
Industry Financial Services
Experience
System Two Advisors, LP April 2012 - Present
Roc Capital Management June 2009 - March 2012
Credit Suisse January 2006 - June 2009
Goldman Sachs January 2001 - December 2005
Indus Advisors LLC 2005 - 2005
Spear Leeds & Kellogg June 1994 - December 2000
Skills
Derivatives, Hedge Funds, Private Equity, Strategy, Equity Trading, Equities, Alternative Investments, Portfolio Management, Securities, Investments, Fixed Income, Asset Management, Capital Markets, Trading Systems, Electronic Trading, Valuation, Bloomberg, Trading, Mutual Funds, Emerging Markets, Venture Capital, Financial Markets, Equity Derivatives, Financial Modeling, Investment Banking
Education
Baruch College, City University of New York (CUNY) 1992 — 1994
MBA, Finance
Fordham University 1990 — 1992
MA, Economics
Wilson College, Bombay University 1985 — 1988
BA, Economics
Sherwood
System Two Advisors, LP April 2012 - Present
Roc Capital Management June 2009 - March 2012
Credit Suisse January 2006 - June 2009
Goldman Sachs January 2001 - December 2005
Indus Advisors LLC 2005 - 2005
Spear Leeds & Kellogg June 1994 - December 2000
Skills
Derivatives, Hedge Funds, Private Equity, Strategy, Equity Trading, Equities, Alternative Investments, Portfolio Management, Securities, Investments, Fixed Income, Asset Management, Capital Markets, Trading Systems, Electronic Trading, Valuation, Bloomberg, Trading, Mutual Funds, Emerging Markets, Venture Capital, Financial Markets, Equity Derivatives, Financial Modeling, Investment Banking
Education
Baruch College, City University of New York (CUNY) 1992 — 1994
MBA, Finance
Fordham University 1990 — 1992
MA, Economics
Wilson College, Bombay University 1985 — 1988
BA, Economics
Sherwood
Edward Anthony Kerbs's Spear, Leeds & Kellogg Experience 1983 - 1997
Job Managing Director at IAT Reinsurance Co, Ltd
Industry Insurance
Experience
IAT Reinsurance Co, Ltd 2000 - Present
Spear, Leeds & Kellogg 1983 - 1997
Education
Georgetown University
IAT Reinsurance Co, Ltd 2000 - Present
Spear, Leeds & Kellogg 1983 - 1997
Education
Georgetown University
James Tague's Spear, Leeds & Kellogg Experience 1992 - 2002
Job Director of Finance at Boston Ballet
Industry Nonprofit Organization Management
Experience
Boston Ballet September 2013 - Present
CPSD School Cmte 2013 - 2014
CPSD School Cmte 2013 - 2014
Combined Jewish Philanthropies December 2010 - June 2012
Appalachian Mountain Club April 2007 - November 2010
UBS Investment Bank 2003 - 2007
ABN AMRO July 2003 - December 2003
Spear, Leeds & Kellogg 1992 - 2002
Skills
US GAAP, IRS, Non-profits, Financial Reporting, Managerial Finance, Accounting, Financial Analysis, Cash Management, Budgets, Financial Modeling, Internal Controls, Risk Management, Due Diligence, Mergers, Equities, Hedge Funds, Strategic Planning, General Ledger, Staff Development
Education
Columbia Unniversity - Center for Environmental Research and Conservation
Certificate in Conservation Biology and Environmental Economics
Iona College
BS, Accounting
Boston Ballet September 2013 - Present
CPSD School Cmte 2013 - 2014
CPSD School Cmte 2013 - 2014
Combined Jewish Philanthropies December 2010 - June 2012
Appalachian Mountain Club April 2007 - November 2010
UBS Investment Bank 2003 - 2007
ABN AMRO July 2003 - December 2003
Spear, Leeds & Kellogg 1992 - 2002
Skills
US GAAP, IRS, Non-profits, Financial Reporting, Managerial Finance, Accounting, Financial Analysis, Cash Management, Budgets, Financial Modeling, Internal Controls, Risk Management, Due Diligence, Mergers, Equities, Hedge Funds, Strategic Planning, General Ledger, Staff Development
Education
Columbia Unniversity - Center for Environmental Research and Conservation
Certificate in Conservation Biology and Environmental Economics
Iona College
BS, Accounting
Patrick French's Spear, Leeds & Kellogg Experience 1994 - 1997
Job Corporate Recovery Specialist at Global 21st Centurty Group Inc
Industry Financial Services
Experience
Global 21st Century Group, Inc. June 2009 - Present
Citi April 1998 - January 2009
Barclays 1997 - 1998
Spear, Leeds & Kellogg 1994 - 1997
Sumitomo Corp of America 1989 - 1993
Skills
Accounting, Banking, Portfolio Management, Financial Analysis, Risk Management
Education
St. Mary's University 1984 — 1989
New York Institute of Finance
Global 21st Century Group, Inc. June 2009 - Present
Citi April 1998 - January 2009
Barclays 1997 - 1998
Spear, Leeds & Kellogg 1994 - 1997
Sumitomo Corp of America 1989 - 1993
Skills
Accounting, Banking, Portfolio Management, Financial Analysis, Risk Management
Education
St. Mary's University 1984 — 1989
New York Institute of Finance
Paul Sclafani's Spear, Leeds & Kellogg Experience 1992 - 1994
Job CEO / Managing Partner at Alpha 7 Advisors LLC
Industry Financial Services
Experience
Alpha 7 Advisors LLC July 2010 - Present
Mercury Capital Management LLC February 2007 - June 2010
JP Morgan & Co 2006 - 2007
Paloma Partners 1994 - 2006
Spear, Leeds & Kellogg 1992 - 1994
Skills
Accounting, Hedge Funds, Asset Managment, Trading, Financial Analysis, Finance, Alternative Investments, Investments, Fixed Income, Auditing, Equities, Valuation, Internal Controls, Mutual Funds, Cash Flow, Securities, Financial Reporting, Derivatives, Asset Management, Investor Relations, Due Diligence, Portfolio Management, Financial Services, Financial Modeling, Risk Management, Bloomberg, Options, Capital Markets, Financial Markets, Private Equity
Education
Ohio Wesleyan University 1986 — 1990
BA, Accounting
The Portledge School 1980 — 1986
Alpha 7 Advisors LLC July 2010 - Present
Mercury Capital Management LLC February 2007 - June 2010
JP Morgan & Co 2006 - 2007
Paloma Partners 1994 - 2006
Spear, Leeds & Kellogg 1992 - 1994
Skills
Accounting, Hedge Funds, Asset Managment, Trading, Financial Analysis, Finance, Alternative Investments, Investments, Fixed Income, Auditing, Equities, Valuation, Internal Controls, Mutual Funds, Cash Flow, Securities, Financial Reporting, Derivatives, Asset Management, Investor Relations, Due Diligence, Portfolio Management, Financial Services, Financial Modeling, Risk Management, Bloomberg, Options, Capital Markets, Financial Markets, Private Equity
Education
Ohio Wesleyan University 1986 — 1990
BA, Accounting
The Portledge School 1980 — 1986
Charles Sweeney's Spear, Leeds & Kellogg Experience 1978 - 2001
Job Risk Consultant
Industry Financial Services
Experience
Liquid Prime Services May 2013 - October 2014
Goldman Sachs & Co 2002 - May 2013
Spear, Leeds & Kellogg 1978 - 2001
Education
Fordham University 1974 — 1978
BA, English
St. Raymonds Boys High School 1970 — 1974
Regents
Liquid Prime Services May 2013 - October 2014
Goldman Sachs & Co 2002 - May 2013
Spear, Leeds & Kellogg 1978 - 2001
Education
Fordham University 1974 — 1978
BA, English
St. Raymonds Boys High School 1970 — 1974
Regents
Eric Sappenfield's Spear, Leeds & Kellogg Experience July 2004 - February 2006
Job Portfolio Manager at Epoch Investment Partners
Industry Investment Management
Experience
Epoch Investment Partners February 2006 - Present
Spear Leeds & Kellogg July 2004 - February 2006
Steinberg Priest Asset Management August 2002 - April 2004
The Carlyle Group 1999 - 2002
Travelers Investment Group April 1998 - March 1999
Skills
Portfolio Management, Equity Research, Investments, Equities, Asset Managment, High Yield, Investment Management, Alternative Investments, Asset Allocation, Investment Strategies, Financial Modeling, Asset Management, Valuation
Education
UCLA Anderson School of Management 1990 — 1992
MBA, Business Administration
Stanford University 1980 — 1984
BA, History
Epoch Investment Partners February 2006 - Present
Spear Leeds & Kellogg July 2004 - February 2006
Steinberg Priest Asset Management August 2002 - April 2004
The Carlyle Group 1999 - 2002
Travelers Investment Group April 1998 - March 1999
Skills
Portfolio Management, Equity Research, Investments, Equities, Asset Managment, High Yield, Investment Management, Alternative Investments, Asset Allocation, Investment Strategies, Financial Modeling, Asset Management, Valuation
Education
UCLA Anderson School of Management 1990 — 1992
MBA, Business Administration
Stanford University 1980 — 1984
BA, History
mary beth dunn's Spear, Leeds & Kellogg Experience October 2003 - September 2004
Job Financial Services Professional
Industry Financial Services
Experience
Nuveen Investments October 2009 - May 2010
Northern Trust Company May 2007 - September 2009
Lehman Brothers Asset Management September 2006 - January 2007
McDonnell Investment October 2004 - July 2006
Spear Leeds & Kellogg October 2003 - September 2004
Northern Trust Company September 2003 - September 2003
Nomura Securities International Inc June 2003 - August 2003
Zurich Scudder Investments/Scudder Kemper Investments September 1994 - July 2002
Morgan Stanley & Co. Inc November 1983 - November 1993
John Nuveen & Co. May 1980 - May 1983
Skills
Fixed Income
Education
Illinois State University
Bachelor of Science Psychology
Nuveen Investments October 2009 - May 2010
Northern Trust Company May 2007 - September 2009
Lehman Brothers Asset Management September 2006 - January 2007
McDonnell Investment October 2004 - July 2006
Spear Leeds & Kellogg October 2003 - September 2004
Northern Trust Company September 2003 - September 2003
Nomura Securities International Inc June 2003 - August 2003
Zurich Scudder Investments/Scudder Kemper Investments September 1994 - July 2002
Morgan Stanley & Co. Inc November 1983 - November 1993
John Nuveen & Co. May 1980 - May 1983
Skills
Fixed Income
Education
Illinois State University
Bachelor of Science Psychology
William James Guilshan's Spear, Leeds & Kellogg Experience August 1993 - October 2000
Job Senior Vice President at IFS Securities
Industry Financial Services
Experience
IFS Securities October 2013 - Present
Cantor Fitzgerald May 2011 - October 2013
FTN Financial June 1991 - May 2011
Goldman Sachs October 2000 - February 2005
Spear Leeds & Kellogg August 1993 - October 2000
Sanwa BGK June 1991 - August 1993
Skills
Series 7, Series 63, Bloomberg, Capital Markets, Alternative Investments, Electronic Trading, Equities, Bonds, Fixed Income, Investments, Portfolio Management, Institutional..., Institutional Sales, Institutional Selling, MBS, Institutional Securities
Education
King's College 1989 — 1991
Bachelor's degree
Saint Bonaventure University 1987 — 1989
IFS Securities October 2013 - Present
Cantor Fitzgerald May 2011 - October 2013
FTN Financial June 1991 - May 2011
Goldman Sachs October 2000 - February 2005
Spear Leeds & Kellogg August 1993 - October 2000
Sanwa BGK June 1991 - August 1993
Skills
Series 7, Series 63, Bloomberg, Capital Markets, Alternative Investments, Electronic Trading, Equities, Bonds, Fixed Income, Investments, Portfolio Management, Institutional..., Institutional Sales, Institutional Selling, MBS, Institutional Securities
Education
King's College 1989 — 1991
Bachelor's degree
Saint Bonaventure University 1987 — 1989
Elemer Piros's Spear, Leeds & Kellogg Experience March 2000 - December 2001
Job Managing Director at Burrill & Company
Industry Investment Banking
Experience
ROTH Capital Partners February 2015 - Present
Burrill & Company August 2012 - July 2013
Rodman & Renshaw July 2002 - June 2012
Spear, Leeds & Kellogg March 2000 - December 2001
Skills
Equity Research, Valuation, Equities, Venture Capital, Alternative Investments, Equity Trading, Start-ups, Emerging Markets, Investments, Market Research, Equity Capital Markets, Equity Valuation, IPO, Business Strategy, Private Equity, Portfolio Management, Financial Analysis, LBO, Business Valuation, Financial Modeling, Due Diligence, Trading Systems, Investor Relations, Corporate Development, Series 7, Biotechnology, Fixed Income, Trading, Structured Finance, Bloomberg, Asset Managment, Mergers & Acquisitions, Strategy, Finance, Options, Financial Structuring, Asset Management, Financial Advisory, M&A experience, Capital, Investment Management, Derivatives, Competitive Analysis, Mergers, Entrepreneurship, Investment Banking, Restructuring, Securities, Investment Strategies, Financial Markets
Education
UCLA 1992 — 1997
Ph.D., Neuroscience
UCLA 1989 — 1992
Bachelor of Science (BS), Biology, General
ROTH Capital Partners February 2015 - Present
Burrill & Company August 2012 - July 2013
Rodman & Renshaw July 2002 - June 2012
Spear, Leeds & Kellogg March 2000 - December 2001
Skills
Equity Research, Valuation, Equities, Venture Capital, Alternative Investments, Equity Trading, Start-ups, Emerging Markets, Investments, Market Research, Equity Capital Markets, Equity Valuation, IPO, Business Strategy, Private Equity, Portfolio Management, Financial Analysis, LBO, Business Valuation, Financial Modeling, Due Diligence, Trading Systems, Investor Relations, Corporate Development, Series 7, Biotechnology, Fixed Income, Trading, Structured Finance, Bloomberg, Asset Managment, Mergers & Acquisitions, Strategy, Finance, Options, Financial Structuring, Asset Management, Financial Advisory, M&A experience, Capital, Investment Management, Derivatives, Competitive Analysis, Mergers, Entrepreneurship, Investment Banking, Restructuring, Securities, Investment Strategies, Financial Markets
Education
UCLA 1992 — 1997
Ph.D., Neuroscience
UCLA 1989 — 1992
Bachelor of Science (BS), Biology, General
Owen Johnson's Spear, Leeds & Kellogg Experience 2003 - 2005
Job
Industry Financial Services
Experience
Owen Johnson LLC April 2012 - Present
The PrinceRidge Group October 2011 - March 2012
New England Financial 2008 - 2010
The Riderwood Group 2007 - 2008
Spear Leeds & Kellogg 2003 - 2005
JP Morgan Chase 1991 - 2003
Paine Webber 1983 - 1988
ABC Television 1979 - 1983
Skills
Series 7, Capital Markets, Securities, Bonds, Fixed Income, Financial Planning, Series 63, Insurance, Investment Advisory, Bloomberg, Equities, Investments, Trading, Asset Allocation, Alternative Investments, Asset Management, Hedge Funds
Education
American University
BS, Finance & Marketing
University of South Carolina-Columbia
Owen Johnson LLC April 2012 - Present
The PrinceRidge Group October 2011 - March 2012
New England Financial 2008 - 2010
The Riderwood Group 2007 - 2008
Spear Leeds & Kellogg 2003 - 2005
JP Morgan Chase 1991 - 2003
Paine Webber 1983 - 1988
ABC Television 1979 - 1983
Skills
Series 7, Capital Markets, Securities, Bonds, Fixed Income, Financial Planning, Series 63, Insurance, Investment Advisory, Bloomberg, Equities, Investments, Trading, Asset Allocation, Alternative Investments, Asset Management, Hedge Funds
Education
American University
BS, Finance & Marketing
University of South Carolina-Columbia
Robert Perricelli's Spear, Leeds & Kellogg Experience June 1988 - May 1994
Job Sr. Manager, Budgets at Metropolitan Transportation Authority
Industry Government Administration
Experience
Metropolitan Transportation Authority November 1996 - Present
Mobil Exxon Corp. November 1994 - March 1996
Spear, Leeds & Kellogg June 1988 - May 1994
Skills
Financial Analysis, Financial Modeling, Internal Controls, PeopleSoft, Accounting, Project Finance, Finance, Financial Reporting, Forecasting, Managerial Finance, Budgets, Strategic Planning
Education
Iona College 1999 — 2003
MBA, Financial Management
Iona College 1983 — 1987
BBA, Finance
Iona College
Master of Business Administration (MBA), Finance and Financial Management Services
Metropolitan Transportation Authority November 1996 - Present
Mobil Exxon Corp. November 1994 - March 1996
Spear, Leeds & Kellogg June 1988 - May 1994
Skills
Financial Analysis, Financial Modeling, Internal Controls, PeopleSoft, Accounting, Project Finance, Finance, Financial Reporting, Forecasting, Managerial Finance, Budgets, Strategic Planning
Education
Iona College 1999 — 2003
MBA, Financial Management
Iona College 1983 — 1987
BBA, Finance
Iona College
Master of Business Administration (MBA), Finance and Financial Management Services
Justin Happ's Spear, Leeds & Kellogg Experience May 1997 - August 1997
Job Investment Research Analyst at Nvest Financial Group, LLC
Industry Financial Services
Experience
Holloway Mercedes-Benz February 2014 - July 2014
EYC Webdesign August 2012 - December 2013
Commonwealth Financial Network January 2001 - April 2012
Fidelity Investments May 2000 - April 2001
Fidelity Investments May 1999 - May 2000
Fidelity Investments June 1998 - May 1999
Spear, Leeds & Kellogg May 1997 - August 1997
Skills
Fixed Income, Bloomberg, Securities, Series 7, Equities, Bonds, Trading, Investments, Mutual Funds, Options, Due Diligence, Strategic Financial..., Holds Series 3, Hold Series 7, Holds Series 24, Holds Series 53, Holds Series 55, Holds Series 63, Web Design, Web Content, Content Writing, Adobe Creative Suite, SEO, Email Newsletter Design, Constant Contact, FINRA, Asset Allocation, Wealth Management, Series 24
Education
University of New Hampshire 1994 — 1998
Bachelor of Arts, Political Science
El Centro de Lenguas Modernas 1997 — 1997
Minor in Spanish, Literature, history, geography, art & architecture, social studies - all in Spanish
Holloway Mercedes-Benz February 2014 - July 2014
EYC Webdesign August 2012 - December 2013
Commonwealth Financial Network January 2001 - April 2012
Fidelity Investments May 2000 - April 2001
Fidelity Investments May 1999 - May 2000
Fidelity Investments June 1998 - May 1999
Spear, Leeds & Kellogg May 1997 - August 1997
Skills
Fixed Income, Bloomberg, Securities, Series 7, Equities, Bonds, Trading, Investments, Mutual Funds, Options, Due Diligence, Strategic Financial..., Holds Series 3, Hold Series 7, Holds Series 24, Holds Series 53, Holds Series 55, Holds Series 63, Web Design, Web Content, Content Writing, Adobe Creative Suite, SEO, Email Newsletter Design, Constant Contact, FINRA, Asset Allocation, Wealth Management, Series 24
Education
University of New Hampshire 1994 — 1998
Bachelor of Arts, Political Science
El Centro de Lenguas Modernas 1997 — 1997
Minor in Spanish, Literature, history, geography, art & architecture, social studies - all in Spanish
Edward Brout's Spear, Leeds & Kellogg Experience 1994 - 2000
Job none at Retired
Industry Online Media
Experience
Retired April 2002 - Present
Goldman Sachs 2000 - April 2002
Spear, Leeds & Kellogg 1994 - 2000
Skills
Options, Social Media, Hedge Funds, Trading, Equities, Strategic Planning, Capital Markets, Real Estate, Securities, Electronic Trading, Risk Management, Derivatives, Microsoft Office
Education
NYU School of Law
LLM, Law
Benjamin N. Cardozo School of Law, Yeshiva University 1988 — 1990
JD, Law
SUNY at Buffalo 1982 — 1985
BA, Economics, Math
Retired April 2002 - Present
Goldman Sachs 2000 - April 2002
Spear, Leeds & Kellogg 1994 - 2000
Skills
Options, Social Media, Hedge Funds, Trading, Equities, Strategic Planning, Capital Markets, Real Estate, Securities, Electronic Trading, Risk Management, Derivatives, Microsoft Office
Education
NYU School of Law
LLM, Law
Benjamin N. Cardozo School of Law, Yeshiva University 1988 — 1990
JD, Law
SUNY at Buffalo 1982 — 1985
BA, Economics, Math
Michael Alexandre's Spear, Leeds & Kellogg Experience 1995 - 2003
Job Institutional Sales at Drexel Hamilton, LLC
Industry Financial Services
Experience
Drexel Hamilton, LLC February 2014 - Present
Corporate One FCU 2005 - 2012
Oppenheimer & Co. 2004 - 2005
Spear Leeds & Kellogg 1995 - 2003
Skills
Client Relationships, Research, Strategic Planning, Public Speaking, Sales, Bond Markets, Equity Markets, Economics, Portfolio Management, Equities
Education
Georgetown University 1968 — 1972
Bachelor of Arts (B.A.), Economics
Drexel Hamilton, LLC February 2014 - Present
Corporate One FCU 2005 - 2012
Oppenheimer & Co. 2004 - 2005
Spear Leeds & Kellogg 1995 - 2003
Skills
Client Relationships, Research, Strategic Planning, Public Speaking, Sales, Bond Markets, Equity Markets, Economics, Portfolio Management, Equities
Education
Georgetown University 1968 — 1972
Bachelor of Arts (B.A.), Economics
Fred J. DeVito's Spear, Leeds & Kellogg Experience January 1995 - April 2001
Job Client Services
Industry Financial Services
Experience
Goldman Sachs 2001 - 2013
Spear Leeds & Kellogg January 1995 - April 2001
Skills
Trading Systems, Electronic Trading, Series 7, Options, Trading, Series 63, Securities, Middle Office, Financial Markets, Market Data, Series 24, Equities, Derivatives, Equity Trading, Credit Derivatives, Equity Derivatives, Prime Brokerage, ETFs, Securities Lending, Swaps, Fixed Income, Hedge Funds, Bloomberg, Proprietary Trading, Market Making, Structured Products, Volatility, FINRA
Education
Fordham University 1989 — 1993
Bachelor's degree, Finance, General
Goldman Sachs 2001 - 2013
Spear Leeds & Kellogg January 1995 - April 2001
Skills
Trading Systems, Electronic Trading, Series 7, Options, Trading, Series 63, Securities, Middle Office, Financial Markets, Market Data, Series 24, Equities, Derivatives, Equity Trading, Credit Derivatives, Equity Derivatives, Prime Brokerage, ETFs, Securities Lending, Swaps, Fixed Income, Hedge Funds, Bloomberg, Proprietary Trading, Market Making, Structured Products, Volatility, FINRA
Education
Fordham University 1989 — 1993
Bachelor's degree, Finance, General
Bob Spillane's Spear, Leeds & Kellogg Experience 1998 - 2000
Job Senior Trader at Berenberg Capital Markets
Industry Financial Services
Experience
Berenberg Capital Markets February 2015 - Present
Kepler Cheuvreux July 2013 - January 2015
Cheuvreux 2006 - 2013
Commerzbank AG 2000 - 2004
Spear Leeds & Kellogg 1998 - 2000
Education
Dartmouth College
Berenberg Capital Markets February 2015 - Present
Kepler Cheuvreux July 2013 - January 2015
Cheuvreux 2006 - 2013
Commerzbank AG 2000 - 2004
Spear Leeds & Kellogg 1998 - 2000
Education
Dartmouth College
Cory Becker's Spear, Leeds & Kellogg Experience April 1998 - December 2002
Job Trader at Cobalt Capital
Industry Financial Services
Experience
Cobalt Capital February 2006 - Present
Balyasny Asset Management L.P. February 2004 - November 2005
Goldman Sachs January 2003 - January 2004
Spear, Leeds & Kellogg April 1998 - December 2002
Skills
Equities, Trading, Hedge Funds, Bloomberg, Capital Markets, Derivatives, Alternative Investments, Asset Management, Fixed Income, Investments
Education
The Ohio State University 1992 — 1996
Bachelor’s Degree
Cobalt Capital February 2006 - Present
Balyasny Asset Management L.P. February 2004 - November 2005
Goldman Sachs January 2003 - January 2004
Spear, Leeds & Kellogg April 1998 - December 2002
Skills
Equities, Trading, Hedge Funds, Bloomberg, Capital Markets, Derivatives, Alternative Investments, Asset Management, Fixed Income, Investments
Education
The Ohio State University 1992 — 1996
Bachelor’s Degree
DTCC
The Depository Trust & Clearing Corporation
TechStars
PEAK6 Investments LP
Tower Research Capital
Great American Group
Ontario Securities Commission
FTN Financial