Sutro & Co.
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Sutro & Co. Employees
Keystone National Group, LLC June 2009 - Present
MAC Capital Management January 2001 - May 2009
UBS AG 2000 - 2001
Sutro & Co. 1998 - 1999
Morgan Stanley & Co. 1993 - 1998
Skills
Private Equity, Asset Managment, Portfolio Management, Trading, Asset Allocation, Venture Capital, Due Diligence, Alternative Investments, Hedge Funds, Investments, Equities, Financial Modeling, Investment Banking, Fixed Income, Financial Analysis, Finance, Financial Structuring, Asset Management, Capital Markets, Options, Funding
Education
Brigham Young University 1991 — 1993
Master of Business Administration (M.B.A.), Finance & Investments
MBA-Marriott School of Management, BYU 1991 — 1993
MBA, Investment Management
Wells Fargo Advisors, LLC July 2000 - Present
PaineWebber April 1994 - July 2000
Sutro & Co. April 1990 - April 1994
Shearson, Lehman, Hutton April 1989 - April 1990
Skills
Investments, Retirement Planning, Investment Strategies, Retirement, Securities, Finance, Asset Allocation, 401k, Alternative Investments, Insurance, Mutual Funds, Financial Services, Financial Advisory, Equities, Pensions, Defined Benefit, Brokerage, ETFs, Municipal Bonds, Financial Advice
Education
University of Kansas 1977 — 1981
BGS, Psychology, English
Shawnee Mission South 1974 — 1977
FosterDouglas 2004 - Present
Sutro & Co. October 1993 - October 1996
Skills
Investment Properties, REO, Negotiation, Listings, Real Estate Transactions, Real Estate, Home Staging, Real Estate Economics, Buyer Representation, Short Sales, Sellers, Condos, Strategy, Real Property, SFR, Property, Single Family Homes, Relocation, Vacation Homes, Budgets, Foreclosures, Customer Service, Property Management, Loans, Investors, FHA, 1031 Exchanges, Real Estate Financing, Film Production, Brokerage, First Time Home Buyers, Luxury, Referrals, Buyers, Townhomes, New Home Sales, Residential Homes
Education
University of California, Los Angeles 1986 — 1989
Bachelor of Arts (BA), Motion Picture/Television
Southern Methodist University 1983 — 1984
Pacific Union Christie's International Real Estate April 2014 - Present
JMP Securities 2000 - October 2013
E*Offering March 1999 - August 2000
Robertson Stephens July 1997 - March 1999
Sutro & Co. 1991 - 1997
Skills
Equities, Equity Trading, Series 7, Capital Markets, Hedge Funds, Series 63, Equity Research, Bloomberg, Trading, Securities, Trading Systems, Electronic Trading, Series 24, Series 55, Options, Alternative Investments, Asset Management, FINRA
Education
University of Colorado at Boulder
BA, Economics
United Planners Financial Services August 2012 - Present
Synergy Financial Group of Arizona July 2010 - Present
ASEA 2012 - 2013
GWRRA 2009 - 2011
The Planning Group of Scottsdale, LLC March 2004 - June 2010
RBC Wealth Management May 2002 - March 2004
Sutro & Co 1998 - 2002
Skills
Certified Financial..., 401k, Securities, Management, Wealth Management, Investments, Investment Advisory, Wealth, Marketing, Fixed Annuities, FINRA, Wealth Management..., Retirement Planning, Financial Advisory, Retirement, Asset Allocation, Investment Management, IRAs, Asset Management, Strategic Financial..., Series 63, Series 7, Life Insurance, Mutual Funds, Estate Planning, Alternative Investments, Long-term Care, Finance
Education
Northern Arizona University, College of Business Administration 1964 — 1967
Bachelor of Science, Marketing
GO2SECURE December 2013 - Present
HRFerguson Financial Consultants, LLC January 1984 - Present
FERGUSON KERN LLC January 2000 - March 2010
NEW YORK FUTURES EXCHANGE July 1983 - March 1984
OPPENHEIMER & CO January 1980 - July 1983
BLYTHE EASTMAN DILLON & CO January 1978 - January 1980
DEAN WITTER & CO January 1977 - January 1978
SUTRO & CO January 1972 - January 1977
Skills
FINRA, Investments, Securities, Mutual Funds, Equities, Hedge Funds, Financial Services, Fraud, Arbitration, Capital Markets, Litigation, Options, Wealth Management, Alternative Investments, Fixed Income, Portfolio Management, Series 3, Series 65, Arbitrator FINRA, Arbitrator NFA, Securities Regulation, AML, Derivatives, Finance, Private Equity, Expert Witness, Trading, Internal Investigations, Series 63, Series 24, Financial Markets, Due Diligence, Management
Education
California State University-Hayward 1968 — 1970
Bachelor of Science, Business Administration
Northeast High School Kansas City, Mo
Morgan Stanley Wealth Management June 2008 - Present
Morgan Stanley Wealth Management June 2008 - Present
Merrill Lynch September 2006 - February 2008
US Wealth Management July 2005 - August 2006
Partnervest Financial Group January 2003 - April 2005
Finestone & Associates LLC May 1996 - December 2002
Sutro & Co May 1994 - May 1996
Merrill Lynch May 1988 - February 1994
Skills
Series 7, Series 63, Wealth Management, Mutual Funds, Retirement Planning, ETFs, Morningstar, Alternative Investments, Asset Allocation, Options, Investments, Fixed Income, Asset Management, Equities, Portfolio Management, Securities
Education
UCLA 2001 — 2003
Certificate, Business and Personal Financial Planning
California State University-Northridge 1985 — 1987
Bachelor of Arts (B.A.), Radio and Television
Allan Hancock College January 2009 - June 2010
Cal Poly State University Mechanical Engineering Dept. June 2009 - August 2009
United States Postal Service February 2005 - July 2007
First Bank January 2003 - December 2003
Sutro & Co. May 2001 - October 2001
Skills
Market Research, Social Media Marketing, Marketing, Marketing Strategy, SPSS, Social Media, Twitter, Facebook, Instagram, Eviews, Matlab, Visual C++, Solidworks, Microsoft Excel, Microsoft Word, PowerPoint, Automotive Repair, Social Networking, Blogging, Research, Public Speaking, Microsoft Office, SolidWorks
Education
University of California, Irvine 2010 — 2013
Bachelor of Arts (B.A.), Business Economics
Allan Hancock College 2007 — 2010
Associate of Arts (AA), Engineering, Mathematics, Physics, Chemistry
Angeles Retirement Consulting, LLC January 2006 - Present
UBS Financial Services May 1998 - January 2006
SUTRO & Co January 1992 - May 1998
SHEARSON LEHMAN HUTTON January 1990 - January 1992
Education
TRAU/ UCLA Anderson School of Management 2012 — 2013
Certified 401(k) Professional Designation, Retirement Plan Specialist
University of California, Los Angeles
Professional Designation in Personal Financial Planning
California State University-Northridge
BA, ECONOMICS
Steinberg Investment Group October 2011 - Present
Steinberg Aley Wealth Management September 2007 - September 2011
RBC Dain Rauscher March 2002 - September 2007
Sutro & Co. January 1999 - March 2002
Charter Investment Group August 1997 - January 1999
Prudential Securities September 1992 - August 1997
Skills
Wealth Management, Finance, Investments, Management, Executive Management, Entrepreneurship, Strategic Planning, Marketing Strategy, Strategy, Sales, Customer Service
Education
University of Oregon 1988 — 1992
B.S., Psychology
MezzCap Partners, LLC August 2005 - Present
Levine Leichtman Capital Partners April 2001 - May 2005
Sutro & Co. September 1995 - March 2001
Dabney/Resnick Imperial September 1992 - August 1995
Drexel Burnham Lambert August 1988 - June 1992
Skills
Private Equity, Mezzanine, Venture Capital, Mergers, Recapitalizations, LBO, Due Diligence, Private Placements, Acquisitions, Financial Structuring, Restructuring, Mergers & Acquisitions, Valuation, Middle Market, Investment Banking, Joint Ventures, Capital, Business Valuation, Corporate Finance, Investments, Deal Creation, M&A experience, Equities, Leveraged Finance, Corporate Development, Growth Capital, Divestitures, Portfolio Management, Deal Sourcing, Buyouts, Capital Raising, Angel Investing, Cash Flow, Alternative Investments, Financial Modeling, Debt Restructuring, Principal Investing, Special Situations, Exit Strategies, Venture Financing, Investor Relations, IPO, Structured Finance, High Yield, Deal Execution, Capital Structure, Fairness Opinions, Sell Side
Education
University of California, Los Angeles - The Anderson School of Management 1992 — 1994
MBA
University of Pennsylvania - The Wharton School 1984 — 1988
Brentwood School
VALIC Financial Advisors, Inc. July 2014 - Present
BPV Capital Management 2012 - 2013
Capital Markets June 2011 - June 2012
Quick Cuisine, LLC August 2005 - June 2011
B. Riley & Co. 2001 - 2004
Sutro & Co. 1996 - 2001
Schroder Wertheim & Co 1991 - 1996
Cowen & Co. 1989 - 1991
Lehman Brothers 1983 - 1989
Skills
Series 7, Alternative Investments, ETFs, Fixed Income, High Yield, Distressed Securities, Consultative Selling, Research, Financial Analysis, New Business Development, Cold Calling, Follow-up, Series 63, Hedge Funds, Cross Selling
Education
Florida Atlantic University 1976 — 1978
BS, Marketing/Finance
Florida State University - College of Business 1973 — 1975
BS, Business
The Juda Group a Divsion of Concept Capital Markets, LLC January 2012 - Present
Sanders Morris Harris January 2002 - December 2011
Sutro & Co. 1997 - 2001
Skills
Team Building, Equities, Customer Relations, Trading, Due Diligence, Business Development, Series 7, Securities, Series 63, Asset Management, Brokerage, Banking, Entrepreneurship, Equity Trading
Education
University of Southern California 1994 — 1997
Public Policy and Management, Bachelor of Science
CEE 1982 — 1987
GenCap Portfolio Management February 2015 - Present
Quantum Capital Management September 2009 - February 2015
Vogel Financial Services January 2006 - 2009
Fidelity Capital Markets August 2003 - September 2005
Piper Jaffray June 2002 - July 2003
Sutro & Co. 1993 - 2001
Paine Webber May 1988 - August 1992
Skills
Fixed Income, Investments, Strategic Financial..., Management, Portfolio Management, Wealth Management, Asset Management, Asset Allocation
Education
University of California, Davis 1981 — 1984
Magnolia Investments, LLC 2012 - Present
Lipscomb University 2013 - Present
Hillwood Comprehensive High School 2009 - 2011
SAIC 2005 - 2008
SAIC Venture Capital Corporation 2000 - 2005
Sutro & Co. 1997 - 1999
Hanifen, Imhoff 1995 - 1997
Equitable Securities Co. 1992 - 1995
Skills
Corporate Development, Investments, Mergers, Private Equity, Venture Capital, Teaching, Coaching, Economics, Negotiation, Business Strategy, Strategic Planning, Mergers & Acquisitions, Strategy
Education
Anderson University 2012 — 2016
DBA, Finance
University of Tennessee-Knoxville - College of Business Administration
MBA, Finance
Lipscomb University
BS, Accounting / Mathematics
Belmont University
MAT, Secondary Education, Mathematics
Mountain Pacific Sports Federation February 1998 - Present
UC Davis Athletics June 1990 - February 1998
Sutro & Co. December 1987 - December 1989
Skills
Sports, Fundraising, Sports Marketing, Athletic Training, Sponsorship, Sports Management, Football, Baseball, Management
Education
California State University-Sacramento
MBA, Marketing
University of California, Davis
BA Physical Education
College of Marin 1971 — 1974
Consultant December 2012 - Present
Wells Fargo Bank March 2011 - December 2012
Ajilon March 2010 - September 2010
Union Bank of California October 2005 - October 2008
LPL Financial June 2000 - October 2005
Quick & Reilly 1996 - 2000
Sutro & Co. 1992 - 1996
Skills
Accounting, Financial Planners, Program Management, Risk Management, Recruiting, Bookkeeping, Business Development, Management, Financial Analysis, Leadership, Auditing, Human Resources, Payroll, Strategy, Loans, Cost Accounting, Budgets, Strategic Planning, Business Planning, Fundraising, Analysis, Marketing, Project Management, Sales, New Business Development, Negotiation, Investments, Time Management, Finance, Financial Planning
Education
University of California, San Diego 1989 — 1993
BA, Quantitative Economics and Decision Science
Empire Realty Associates January 2012 - August 2015
Alain Pinel Realtors March 2005 - December 2011
Walnut Creek January 2005 - 2011
REALTOR® 2000 - February 2004
Sutro & Co. 1997 - August 1999
Prudential Healthcare 1996 - 1997
Aetna Health Plans 1995 - 1996
Aetna Life & Casualty 1991 - 1995
Skills
Real Estate, Marketing, Contract Negotiation, Corporate Relocation, luxury Home Sales, Sales, Coaching, Networking, Training, Business Planning, Business Development, Sellers, Management Consulting, Photography, Professional Mentoring, Educational Consulting
Education
Bentley University 1987 — 1991
BS, Accounting
Leading Real Estate Companies of the World (LREC)
Relocation Specialist Designation LRS, Relocation Specialist
Granite Ventures, LLC 2001 - Present
JPMorgan Chase & Co. 1992 - 2001
Sutro & Co 1988 - 1992
EY 1985 - 1988
Skills
Corporate Finance
Education
Loyola Marymount University, College of Business Administration
Bachelor’s Degree, Accounting
Mercy High School, Burlingame
Merrill Lynch October 2011 - Present
Merrill Lynch May 2008 - March 2011
Morgan Stanley June 2006 - March 2008
Bank of America July 2005 - June 2006
Morgan Stanley October 2001 - July 2005
Sutro & Co. April 1998 - September 2001
Jewish Family Service December 1989 - September 1993
Skills
Accounts Payable, Microsoft Excel, Mutual Funds, Series 7, FINRA, Outlook, Finance, Sales, Series 63, Financial Planning, Investments, Management, Securities, Wealth Management, Asset Allocation, Financial Services
Education
California State University-Fullerton 1986 — 1989
BA, Russian & East European Studies
Lviv National Medical University 'Danylo Halycky' 1987 — 1987
Certificate of Completion, Russian Language and Culture
Mt. San Antonio College 1983 — 1986
AA, General Studies
RH Investment Corp March 2010 - Present
BondDesk Group 2005 - 2009
Henderson Capital Partners 2002 - 2005
Sutro & Co. 2000 - 2001
Bank of America Securities 1986 - 2000
Skills
Bonds, Management, Municipalities, Sales, Fixed Income, Relationship Management, Securities, Leadership, Series 7
Education
University of California, Berkeley
BA
Guggenheim Investments February 2012 - Present
RydexSGI September 2009 - February 2012
Rydex Investments July 2004 - September 2009
Rydex Investments October 2002 - July 2004
Applied Predictive Technologies September 2000 - September 2002
State Street Research July 1998 - September 2000
Principal Financial Securities May 1996 - July 1998
Sutro & Co. June 1987 - May 1996
Skills
E-commerce, Instructional Design, Distance Education, Marketing Strategy, Budgeting, Business Analysis, Business Process
Education
The University of Dallas
MBA
University of the Pacific
BA
Luna Textiles November 2011 - Present
ZF Corp 2008 - 2009
Xerox Corporation 1987 - 1990
McCann Erickson 1986 - 1987
Sutro & Co. 1984 - 1985
Skills
Creative Direction, Expense Management, Advertising, Expenses, Budgets, Customer Service, Event Planning, Furniture, Social Networking, Budget Monitoring, Marketing, Spreadsheets, Microsoft Word, Design Research, Space-planning
Education
San Jose State University 1982 — 1986
B.S., Finance
Raymond James February 2010 - Present
Oppenheimer & Co. Inc. November 2004 - February 2010
Wachovia Securities November 2000 - 2004
Sutro & Co April 1995 - December 2000
Bateman Eichler, Hill Richards June 1987 - April 1995
Paine Webber December 1979 - June 1987
Skills
Retirement Planning, Investments, Finance, Mutual Funds, Series 7, Wealth Management, Retirement, Asset Allocation, Investment Strategies, Series 63, Financial Advisory, Investment Advisory, Securities
Education
California State University-Northridge 1974 — 1977
Bachelor of Arts (B.A.), Urban Studies/Affairs
Van Nuys High School 1967 — 1970
High School
Cohera Corp. May 1999 - August 2000
eXcelon Corp. formerly Object Design January 1998 - January 1999
Object Design, Inc. July 1995 - December 1997
Object Design, Inc. January 1993 - June 1995
Object Design, Inc. October 1992 - December 1992
CATS Software March 1989 - April 1992
Stepstone Corp. February 1988 - February 1989
Koch Systems Corp. September 1986 - February 1988
Fortune Systems Corp. June 1984 - September 1986
Sutro & Co. September 1983 - March 1984
Skills
Product Development, Cloud Computing, SaaS, Software Development, Enterprise Software, Product Management, Start-ups, Sales Operations, Agile Methodologies, Sales, Strategic Partnerships, CRM, Software Project..., Cross-functional Team..., Business Development, Mobile Devices
Education
Dartmouth College 1976 — 1980
A.B.
TPG Capital November 2014 - Present
Ascend Capital March 2010 - November 2014
Symphony Asset Management 2005 - 2009
Trek Capital Management LLC 2002 - 2005
Firsthand Capital Management 2000 - 2002
Sutro & Co. 1999 - 2000
Merrill Lynch 1997 - 1999
Skills
Bloomberg, Hedge Funds, Equities, Proprietary Trading, Investments, Start-ups, Mutual Funds, Strategy, Prime Brokerage, Asset Allocation, Equity Trading, Settlement, Traders, Portfolio Management, Financial Risk, Currency, Corporate Actions, Securities Lending, Finance, Back Office, Accounting, Alternative Investments, Options, Financial Markets, Asset Management, Trading, Trading Systems, Electronic Trading, Fixed Income
Education
University of California, Santa Barbara
BA
ONE COOL COW July 2013 - Present
Load Your Bases September 2012 - June 2013
Capstone Asset Management September 2010 - June 2011
MetLife Investors July 2005 - July 2010
Travelers Life & Annuity November 1996 - July 2005
Morgan Stanley Smith Barney 1992 - 2002
Sutro & Co. 1989 - 1991
Skills
Event Planning, Marketing, Social Media, Marketing Communications, Social Media Marketing, Sales, Social Networking, New Business Development, Marketing Strategy, Sales Presentations, Account Management, Public Speaking, Strategic Planning, Product Marketing, Financial Services
Education
University of San Francisco
Advanced Social Medial Certificate Program, Marketing
University of Arizona
Bachelor of Arts, Political Science, Business
JP Morgan May 2000 - Present
Hambrecht & Quist January 2000 - January 2002
Sutro & Co March 1996 - January 2000
Skills
Mergers & Acquisitions, Equities, Financial Modeling, Investments, Hedge Funds, Due Diligence, Investment Management, Portfolio Management, Asset Managment, Fixed Income, Alternative Investments, Asset Management, Private Equity, Financial Analysis, Management, Strategy, Asset Allocation, Venture Capital
Education
University of Arizona 1991 — 1995
Woodbridge High School 1987 — 1991
Investment Technology Group, Inc. 2008 - Present
Legend Merchant Group 2008 - 2008
Urchin Captial Partners, LLC 2005 - 2007
Thomas Weisel Partners 2003 - 2004
Bofa Securities 1996 - 2003
Montgomery Securities 1996 - 2003
Sutro & Co. January 1994 - December 1996
Skills
Equity Trading, Electronic Trading, Series 7, Equities, Portfolio Management, Trading, Mutual Funds, Mergers, Hedging, Capital Markets, Trading Strategies, Hedge Funds, Venture Capital, Bloomberg, Trading Systems, Financial Markets, Options
Education
University of California, Santa Barbara
Bachelor’s Degree
Self-employed August 2015 - Present
MLV May 2013 - August 2015
Self-employed December 2012 - May 2013
B. Riley and Co. June 2011 - December 2012
CapStone Investments March 2010 - June 2011
Second Derivative Research, LLC June 2009 - March 2010
Lahde Capital Managment, LLC October 2007 - January 2009
Roth Capital Partners March 2003 - October 2007
Wedbush Morgan Securities January 2002 - February 2003
Sutro & Co. August 1998 - December 2001
Skills
Equity Research, Equities, Hedge Funds, Series 7, Valuation, Investments, Investment Banking, Capital Markets, Bloomberg, Series 63, Equity Valuation, Financial Modeling, Alternative Investments, Private Equity, Portfolio Management, Due Diligence
Education
University of Illinois at Urbana-Champaign 1981 — 1983
MBA, Finance
University of Notre Dame 1973 — 1977
BA, English
Law Offices of Abe Lampart, P.C. May 2004 - Present
Buchalter Nemer August 2003 - April 2004
Cooper, White & Cooper LLP June 2002 - August 2003
Sutro & Co. 1994 - 2002
Dean WItter Reynolds (Morgan Stanley) 1980 - 1992
Skills
Securities, Arbitration, Commercial Litigation, Litigation, Securities Regulation, Civil Litigation, Securities Litigation, Mediation, Corporate Law, Dispute Resolution, Legal Research, Legal Writing, Alternative Dispute..., Class Actions, Investments, Corporate Governance, Appeals, Courts, Trials, Employment Law, Mergers & Acquisitions, Intellectual Property, Trial Practice, Licensing, FINRA, Trademarks, Due Diligence, Financial Services, Trade Secrets, Corporate Finance
Education
Brooklyn Law School 1975 — 1979
Juris Doctor
State University of New York at Stony Brook 1971 — 1975
Bachelor of Science, Political Science
Fundtech October 2014 - Present
Wetherby Asset Management March 2014 - April 2014
Fiserv December 2010 - August 2013
Ralph Lauren October 2008 - November 2010
Natixis Global Asset Management August 2004 - April 2008
Charles Schwab February 2004 - July 2004
APL Consulting Services March 2001 - January 2004
Sutro & Co April 1999 - March 2001
NationsBanc Montgomery Securities January 1999 - March 1999
Federal Reserve Bank September 1998 - December 1998
Skills
Security APL, Separately Managed..., Unified Managed Accounts, Money Management, Account Management, Salesforce.com, Relationship Management, CRM, Financial Services, Risk Management, Portfolio Management, Project Portfolio..., Business Requirements, Business Strategy, Asset Management, Business Process..., Trading Systems, Product Management, Process Improvement, Internal Audit, Bloomberg, Leadership, Business Process, Sales Management, Visio, Securities, Mutual Funds, Series 63, Analytics, Executive Management, Wealth Management, Cross-functional Team..., Auditing, Trading, Strategic Planning, Equities, Accounting, SDLC, Financial Analysis, Loans, Fixed Income, Management, Investments, Business Intelligence, Finance, Sales, Requirements Gathering, Time Management, Business Development, Analysis
Education
Santa Clara University
Bachelor of Science, Finance
Gerard Klauer Mattison 2000 - 2003
Sutro & Co. 1997 - 2000
Paine Webber August 1990 - April 1996
Prudential Bache Capital Funding 1989 - 1990
Skills
Negotiation, Mergers, Mergers & Acquisitions
Education
University of California, Los Angeles 1983 — 1989
BA, Economics
The Marks Group July 2013 - Present
Keystone Risk Partners 2002 - Present
WineAccess January 2013 - July 2013
Marks Baughan & Co. 2004 - January 2013
Belzberg Technologies 2001 - 2002
Credit Suisse First Boston 1999 - 2001
Deutsche Bank Alex Brown 1998 - 1999
Credit Suisse First Boston 1996 - 1998
Sutro & Co. 1993 - 1996
SNL Financial 1987 - 1993
Skills
Investment Banking, Equities, Corporate Development, Financial Services, Mergers
Education
Swarthmore College 1980 — 1985
BA, Art History
Harriton
Harriton
Calimesa Library February 2006 - Present
CAP-MPT January 1991 - July 2005
Sutro & Co May 1968 - January 1972
Skills
Customer Service, Legal Research, Legal Writing, Social Media, Research, Marketing, Project Management, Community Outreach, Team Building, Microsoft Office, PowerPoint, Microsoft Word, Strategic Planning, Non-profits, Grant Writing, Data Entry, Microsoft Excel, Event Planning, Public Speaking, Outlook, Nonprofits
Education
Los Angeles Pierce College 1961 — 1964
Associate of Arts (A.A.), Rural Sociology
Reseda High School 1959 — 1961
Robert W. Baird & Co. May 2009 - Present
Banc of America Securities June 2002 - May 2009
Piper Jaffray June 2000 - May 2002
Sutro & Co 1998 - 2000
Skills
Government, Investment Banking, Public Finance, Public/private..., Series 7, Capital Markets, Fixed Income, Investments, Financial Modeling, Structured Finance, Securities
Education
Indiana University Bloomington 1996 — 1998
Master of Public Affairs
Berea College 1991 — 1995
BA & BS
Woodham High School
Samadhi Investment Partners November 2012 - Present
Clairvoyance Capital July 2008 - September 2012
SAC Capital February 2004 - May 2008
Intrepid Capital (Acharne Capital) January 2001 - February 2004
Sutro & Co. September 1999 - January 2001
Taiwan Commodity Components June 1995 - September 1999
NECX, Inc. May 1991 - June 1995
Skills
Financial Analysis, Team Leadership, Portfolio Management, Investments, Equities, Financial Modeling, Equity Research, Emerging Markets, Asset Managment, Business Analysis, Market Analysis, International Management, Mentoring, Writing, Financial Markets, Asset Management, Valuation, Capital Markets, Due Diligence, Risk Management, Business Strategy, Business Planning, Technical Analysis, Trading, Bloomberg, Financial Planning, Competitive Analysis, Securities, Equity Valuation, Strategy, Alternative Investments, Hedge Funds, Mutual Funds, Private Equity
Education
Union College 1983 — 1988
Bachelor of Arts (B.A.)
Deerfield Academy
Needham & Company August 2009 - Present
Stanford Group Company 2007 - 2009
Ryan Beck & Co. 2005 - 2007
Calyon 1997 - 2005
Vector Securities International 1995 - 1997
Sutro & Co. 1990 - 1995
PaineWebber 1986 - 1990
Skills
Institutional Sales, Equities, Syndicate, Hedge Funds, Equity Capital Markets, Valuation, Series 7, Capital Markets, Investment Banking, Equity Trading, Alternative Investments, Series 63, Bloomberg, Equity Research, Investments, Asset Management
Education
Tulane University 1982 — 1986
BA, Economics
RBC Wealth Management May 2015 - Present
RBC Wealth Management November 2008 - Present
Branch Director, RBC Wealth Management 2006 - 2008
RBC Wealth Management 2005 - 2006
RBC Dain Rauscher 2001 - 2004
Sutro & Co. 1996 - 2001
Sutro & Co. 1994 - 1996
Sutro & Co. 1992 - 1994
Bateman Eichler Hill Richards 1987 - 1992
Kidder Peabody & Co. 1982 - 1987
Skills
Investments, Equities, Marketing, Management, Strategic Planning, Leadership, Budgets, Team Building, Start-ups, Customer Service, New Business Development, Marketing Strategy, Public Speaking, Series 7, Wealth Management, Portfolio Management, Mutual Funds, Series 63
Education
Cal Poly San Luis Obispo
Bachelor of Science (BS), Business Administration and Management, General
The Juda Group January 2012 - August 2015
Sanders Morris Harris January 2002 - December 2011
Sutro & Co October 1998 - December 2001
Skills
Institutional, Equity Sales, Equities
Education
University of Southern California 1989 — 1992
Bachelor of Business Administration (BBA), Finance, General
Bailard, Inc. December 2013 - Present
Bailard Inc July 2013 - December 2013
Savitr Capital November 2010 - February 2013
BNY Mellon November 2005 - November 2009
Wells Fargo Investments June 2000 - July 2005
Sutro & Co August 1999 - June 2000
Franklin Templeton Investments February 1998 - June 1999
BARABAN SECURITIES INC January 1995 - December 1997
Skills
Electronic Trading, Securities, Fixed Income, Back Office, FX Spot, FX Swaps, Global and Domestic..., Cash, Trade and...
Education
California State University-Long Beach
BA, Home Economics
FirstService Financial, Inc. January 2014 - Present
Miami Marlins, L.P. July 2011 - October 2013
Clearbrook Global Advisors, LLC March 2007 - July 2011
Freedom Mortgage November 2005 - March 2007
PNC September 2004 - November 2005
Touchstone Investments 2002 - 2004
Sutro & Co 1994 - 1998
Skills
Microsoft Excel, Microsoft Word, PowerPoint, Outlook, Budgets, Strategic Planning, Microsoft Dynamics ERP, Financial Analysis, Financial Reporting, Forecasting, Intercompany Accounts, Staff Management, Project Management, Financial Modeling, Accounting
Education
University of Massachusetts Boston
Master of Business Administration (MBA), Finance & Accounting
Purdue University
Bachelor of Science (B.S.), Accounting and Finance;minor in Economics
Silicon Valley Securities, Inc. March 1997 - Present
Silicon Valley Securities, Inc. January 1997 - Present
Sutro & Co. June 1988 - January 1997
EF Hutton & Co. January 1975 - June 1988
Skills
Investments, Mutual Funds, Securities, ETFs, Series 7, Bonds, FINRA, Fixed Annuities, Commodity, Stocks, Leadership
Education
University of California, Berkeley 1972 — 1974
Bachelor of Science (B.S.), Financial Planning and Services
Merritt College 1971 — 1972
Associate's degree, Finance, General
Saint Mary's College of California 1970 — 1971
Sutro & Co. 1998 - 2000
Principal Financial Group 1996 - 1998
Legg Mason 1990 - 1995
United States Trust Co. of New York 1961 - 1979
Skills
Microsoft Office, Customer Service, Process Improvement, Risk Management, Change Management, Project Management, Credit, Negotiation, Insurance, Outlook, Investments, Loans, Management, Mortgage Lending, Team Leadership, Analysis, Portfolio Management, Project Planning, Operations Management, Business Strategy, Leadership, Data Analysis
Education
City University of New York City College
Bachelor of Arts (B.A.), Philosophy
New York University
Master of Arts (M.A.), Philosophy
New York University, Stern School of Business
Master of Business Administration (MBA)
CRAMSIB L.L.C August 2012 - Present
ICAP Securities January 2006 - August 2012
Stone & Youngberg L.L.C May 2003 - January 2006
Gruntal & Co September 1997 - April 2003
Crowell, Weedon & Co. September 1990 - July 1997
Sutro & Co. January 1988 - September 1990
Skills
Bonds, Fixed Income, Capital Markets, Strategic Planning, Structured Products, MBS, Trading, Portfolio Management, Alternative Investments, Hedge Funds, Bloomberg, Asset Managment, Equities, Investment Banking, Sales, Customer Service, Problem Solving, Strategic Financial..., Registered Investment..., Financial Risk, Analytic Finance, Securities Licenses..., MICROSOFT OFFICE..., GAME THEORY, BEHAVIORAL ECONOMICS, BEHAVIORAL FINANCE, CONTRACT NEGOTIATIONS, ISDA (INTERNATIONAL..., STRUCTURED FIXED INCOME..., CMBS (COLLATERIZED..., CMO (COLLATERIZED..., CDS, FOOL THEORY AND..., FIXED INCOME RISK..., FLOATING RATE SECURITIES, RAMNIFICATIONS OF THE..., Asset-backed..., Asset Allocation, Asset Management
Education
Anderson School at UCLA 2011 — 2012
Extension Courses, financial engineering, structure finance, Ongoing Extension Courses
University of Arizona 1982 — 1983
Master of Business Administration (M.B.A.), Finance and Financial Management Services, overall gpa 3.80...Finance gpa 4.0
University of Colorado at Boulder 1981 — 1981
ADVANCED FINANCIAL AND ECONOMICS MATHEMATICS STUDIES
American University of Beirut 1978 — 1981
Bachelor of Arts (B.A.), Economics
Marrone Financial January 2007 - Present
Credit Suisse 2004 - 2007
Roth Capital Partners 1998 - 2004
Merrill Lynch 1997 - 1998
Sutro & Co 1991 - 1998
Drexel Burnham Lambert 1986 - 1989
Bateman Eichler 1982 - 1986
Skills
Investments, Management, Financial Modeling, Finance, Asset Management, Equities, Valuation
Education
UCLA
Political Science
Loyola Marymount University
Political Science
Crespi High School
North Point Wealth Advisors 2014 - Present
Morgan Stanley 2008 - 2014
Quest Capital Strategies, Inc. November 1997 - March 2008
Merril Lynch Inc 2002 - 2008
Sutro & CO. March 2000 - March 2002
Grove Securities March 1998 - March 2000
Skills
Financial Advisory, Retirement Planning, Wealth Preservation...
Education
Oregon State University
Bachelor’s Degree