Thomson McKinnon Securities
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Thomson McKinnon Securities Employees
Pro Services I, LLC July 2015 - Present
ProLink Solutions October 2014 - June 2015
Gleacher & Company June 2008 - April 2013
RBS - Greenwich Capital Markets September 1994 - May 2008
Nomura Securities International June 1989 - September 1994
LF Rothschild & Company September 1986 - March 1989
Powers Research, Inc. June 1981 - September 1986
Thomson McKinnon Securities May 1980 - August 1980
Thomson McKinnon Securities June 1979 - August 1979
Skills
Enterprise Software, Management, Account Management, Sales, Business Development, Derivatives, Risk Management, Fixed Income, Portfolio Management, Trading, Bonds, Hedge Funds, Asset Management, Capital Markets
Education
Cornell University - Johnson Graduate School of Management 1979 — 1981
Master of Business Administration (M.B.A.), Finance and Accounting, 3.8
University of Pennsylvania - The Wharton School 1974 — 1978
Bachelor's Degree, Finance and Marketing, 3.1
DeMers Asset Management & Hillcrest Investment Management January 2008 - Present
Born Capital Financial Services June 2007 - July 2012
Gerry DeMers Research & Trading September 1998 - June 2007
Fuji Securities October 1995 - September 1998
Jackson Associates October 1991 - October 1995
Financial Markets Research & Trading October 1993 - December 1994
Gelderman Securities September 1989 - October 1991
Thomson McKinnon Securities June 1988 - September 1989
Bank of America Securities May 1987 - June 1988
Paine Webber April 1985 - April 1987
Skills
Wealth Management, Options, Alternative Investments, Investment Advisory, Fixed Income, Equities, Portfolio Management, Trading, Hedge Funds, Derivatives, Financial Markets, Bonds, Asset Management, Securities, Mutual Funds, Asset Allocation, Investments, Private Equity, Hedging, Capital Markets, Currency, Trading Systems
Education
University of Arizona 1976 — 1983
BS in Business Admninistration (before Eller College of Management), Marketing, Economics
UBS Wealth Management April 1988 - Present
UBS Wealth Management April 1988 - Present
UBS Wealth Management April 1988 - Present
Thomson McKinnon Securities April 1976 - April 1988
Education
Indiana University Bloomington 1970 — 1973
BS Psychology, Minors in Math & Chemistry
DePauw University 1968 — 1969
Liberal Arts
Makefield Equestrian Services 2012 - Present
Council Rock North Choir Parents' Association 2011 - 2013
Tower Mountain Software, Inc. 1993 - 1998
Elf Atochem North America 1990 - 1993
Thomson McKinnon Securities 1986 - 1988
IPC Systems, Inc. 1985 - 1986
Skills
Project Management, Vendor Management, Analysis, Highly detail oriented, Team Leadership, QuickBooks, Microsoft Office, Travel Planning, Multi Tasking, Squarespace, Volunteer Management, Problem Solving, Telecommunications
Education
Bucknell University
Bachelor of Arts (B.A.), Economics, French
Wells Fargo Advisors February 2010 - Present
US Bancorp Investments July 1988 - February 2010
Thomson McKinnon Securities July 1983 - July 1988
Skills
Financial Guidance, Regular Informative..., Investment Analysis, Investments, Retirement Planning
Education
Auburn University 1975 — 1980
Bachelor of Science (BS), Industrial Management
Trimaran Capital Partners February 2006 - Present
CIBC World Markets Corp. August 1995 - February 2006
The Argosy Group, L.P. April 1990 - August 1995
Thomson McKinnon Securities October 1986 - June 1989
Thomson McKinnon Securities October 1981 - September 1986
Arthur Young August 1978 - October 1981
Skills
Private Equity, Financial Modeling, Due Diligence, Valuation, Corporate Finance, Corporate Development, Venture Capital, Mergers & Acquisitions, Equities, Investment Banking, LBO, Financial Reporting, Finance, Financial Analysis, Sarbanes-Oxley Act, High Yield, Treasury, Capital Markets, Asset Management, Investments, Executive Management, Managerial Finance, Human Resources, Financial Services
Education
SUNY Albany 1976 — 1978
Bachelor's of Science, Accounting
MassMutual Financial Group January 2004 - Present
World Group Securities June 1998 - January 2004
Argent Securities, Inc. May 1995 - June 1998
Thomson McKinnon Securities June 1986 - September 1991
Education
Kenyon College 1979 — 1983
B.A., Psychology
Saint Albans School 1975 — 1979
Janney Elementary School
Morgan Stanley September 2005 - Present
Bear Stearns August 1996 - May 2005
Automatic Data Processing (ADP) - Brokerage Division (Now Broadridge Financial Solutions) January 1989 - August 1996
Thomson McKinnon Securities 1986 - 1988
E.F. Hutton Inc. May 1984 - January 1986
Skills
Cost Basis Reporting, Tax Lot Accounting, Wealth Management, Brokerage Back Office, Compliance, Brokerage General Ledger, Brokerage P&L, Business Analysis, IT, Software Project..., Corporate Actions, Systems Analysis, Application Design, Database Design, DB2 for z/OS, SQL, Team Leadership, Prime Brokerage Billing, Broker Dealer (BD)..., Mutual Funds, Change Management, Microsoft Office, Microsoft Excel, Visio, MS Project, VSAM, COBOL, Offshore Management, Application Development..., Application Integration, Vendor Software..., Technical Leadership, Application Performance..., Stored Procedures, DB2 Performance, DB2 Utilities, CICS Transaction Server, QMF, Concurrent Processing, MVS / zOS JCL, ACATS, Correspondent Clearance..., Trade Commissions, Creative Problem Solving, System Documentation, PowerPoint, HP PPM, Rational Developer for..., C Language, SDLC
Education
HOFSTRA UNIVERSITY
BS, Computer Science
C.W. POST CENTER OF LONG ISLAND UNIVERSITY
Transferred, Computer Science
The Chubb Institute 1995 — 1996
Certificate, Client/Server Application Development
NYU School of Continuing and Professional Studies 1994 — 1994
C Programming (Parts 1 and 2)
Broadridge Financial Services March 2014 - Present
The Depository Trust & Clearing Corporation October 2013 - October 2014
The Depository Trust & Clearing Corporation January 1998 - October 2014
The Depository Trust & Clearing Corporation April 1992 - January 1998
The Depository Trust & Clearing Corporation September 1988 - January 1992
Thomson McKinnon Securities September 1984 - September 1988
Amalgamated Life Insurance Company April 1980 - September 1984
Skills
PMO, Program Management, Enterprise Portfolio..., Process Re-engineering, Project Portfolio..., Project Management, Business Process..., Risk Management, Business Analysis, IT Strategy, Process Improvement, Vendor Management, Requirements Analysis, SDLC
Education
St. John's University 1980 — 1983
Master of Business Administration (M.B.A.)
Stony Brook University 1975 — 1979
Bachelor's Degree, Political Science and Government & Art
Wells Fargo Advisors May 1998 - Present
Domino's Pizza France 1992 - 1997
Fritz-Bansard Freight Systems 1989 - 1992
Thomson-McKinnon Securities September 1984 - July 1987
Skills
Retirement Planning, Investments, Estate Planning..., Strategic Investment..., Securities, Alternative Investments, Investment Planning, Asset Allocation, Financial Advisory, Comprehensive Planning, College Education..., Retirement, Finance, Financial Services, Small Business...
Education
Tulane University - A.B. Freeman School of Business 1987 — 1989
Master of Business Administration (MBA), International Business
Louisiana State University 1980 — 1984
Bachelor of Science (BS), Business Administration and Management, General
Northstar Properties January 1987 - Present
Thomson McKinnon Securities January 1983 - December 1986
Skills
Location Intelligence, Real Estate Economics, Brokerage, Strategic Planning, Tenant, Leases, Real Estate Private..., Property, Real Estate, Real Estate Development, Shopping Centers, Disposition
Education
Yale School of Management 1977 — 1979
MBA
University of California, Berkeley 1973 — 1977
B.A., Economics
Phillips Exeter Academy 1970 — 1973
StoptheCallsFast.Com January 2008 - Present
Sundownnetworking.com, LLC January 2008 - December 2009
Vector Financial Services 1986 - 2002
Thomson McKinnon Securities 1981 - 1986
Paine Webber Mitchell Hutchins 1976 - 1981
Bache & Co 1974 - 1976
Skills
conducting and..., cooking, Public Speaking, Social Media Marketing, Social Media, Social Networking, Entrepreneurship, Small Business, Interviews, Conducting, Blogging, Advertising, Time Management, Sales, Marketing, Management, Strategy, Online Marketing, Email Marketing, Start-ups, Investments, Marketing Strategy, Leadership, Strategic Planning, Business Development
Education
Fairleigh Dickinson University 1970 — 1974
academic, MBA
Fairleigh Dickinson University 1970 — 1974
MBA, Finance Managment
Fairleigh Dickinson University 1963 — 1969
BA, political science
The New School for Social Research 1965 — 1966
non, political science
teaneck high school 1959 — 1962
academic, academic diploma
Tiffany Craig Brown 2003 - Present
Heritage Park Wine Club 2009 - 2013
Syrah Homeowners Association 2005 - 2008
Natomas Journal 1999 - 2004
Access Health 1997 - 1998
Foundation Health/ TRICARE 1993 - 1997
Lexington Capital Management 1987 - 1990
Thomson McKinnon Securities 1985 - 1987
U.S. Army 1976 - 1978
Skills
Published Author, Novels, Fiction Writing, Fiction, Ebooks, Creative Writing, Creative Writer, Writing Skills, Editing, Proofreading, Writing, Newsletters, Journalism, Newspaper, Copywriting, Press Releases, Writers, Case Studies, Training, Freelance Writing, Books, Social Media, Publishing, Magazines, Newspapers, Editorial, Publications, Copy Editing, Web Content, Feature Articles, Literature, Poetry, News Writing, Blogging, Non-fiction, Facebook, Technical Writing, Social Networking, Media Relations, Marketing Copy, Magazine Articles, Book Reviews, Ghostwriting, Content Writing, Marketing, Publicity, Content Development, Public Relations, AP Style, Strategic Communications
Education
California State University-Sacramento 1984 — 1986
B.S., Business/Finance
San Diego Mesa College 1981 — 1983
Business/Corporate Communications
Lake Tahoe Community College 1975 — 1976
Journalism
Nile C. Kinnick High School - Yokosuka 1971 — 1974
HS, General
Wells Fargo Advisors LLC May 2009 - Present
Smith Barney March 2002 - May 2009
Prudential Securities November 1990 - March 2002
Thomson Mckinnon Securities August 1987 - August 1990
Skills
Investments, Mutual Funds, Equities, Retirement Planning, Securities, Fixed Income, Estate Planning..., Estate Planning, Asset Allocation, Finance, Financial Services
Education
Fairleigh Dickinson University 1979 — 1981
MBA
Muhlenberg College 1975 — 1980
BA
Hun School 1970 — 1975
Creative Capital Group September 1992 - Present
Allentown School Board 2007 - 2009
Shearson Lehman Brothers 1988 - 1992
Thomson McKinnon Securities January 1985 - April 1988
Prudential-Bache Securities March 1980 - January 1985
Education
World Intellectual Property Organization 2007 — 2007
Intellectual Property
Villanova University 1972 — 1978
Graduate Study in History
New York University 1973 — 1974
Writing
Gettysburg College 1967 — 1971
BA, History
Severn School
Severn School (Annapolis, MD)
Severn School (Annapolis, MD)
Retired - most happily October 2011 - Present
Gold Coast Bank (NY) May 2011 - Present
Interactive Resources--Marketing, Management, Manpower Consulting October 2010 - Present
Clark Dodge & Co., Inc. July 2009 - September 2010
Oppenheimer & Co. Inc. February 1994 - March 2009
Smith Barney January 1992 - January 1994
Prudential Securities 1990 - 1992
Shearson Lehman Brothers January 1982 - January 1990
Thomson McKinnon Securities January 1981 - January 1982
Bear Stearns & Co January 1980 - January 1981
Skills
Investments, Portfolio Management, AML, Mutual Funds, Business Development
Education
Fordham University 1968 — 1971
BA, Political Science
SenaHill Partners, LP May 2014 - Present
Princeton Ventures Management, LLC November 2012 - Present
Trading Technology Company August 2007 - January 2012
3D Markets, Inc. August 2007 - May 2009
Piper Jaffray 2004 - 2007
Vie Financial Group, Inc. 2002 - 2005
Knight Securities 2001 - 2003
Susquehanna International Group 1998 - 2001
The Chase Manhattan Bank 1989 - 1993
Thomson McKinnon Securities 1986 - 1989
Skills
Derivatives, Electronic Trading, Equity Trading, Options, Trading Systems, Capital Markets, Financial Markets, Series 63, Equity Derivatives, Proprietary Trading, ETFs, Market Data, Market Structure, Alternative Investments, Trading Strategies, Asset Managment, Trading System, Asset Management, Venture Capital, Investments, Portfolio Management, Investment Banking
Education
Drexel University - College of Business and Administration 1981 — 1985
University of Colorado at Boulder 1979 — 1981
Summit Leadership Advisors January 2014 - Present
Summit Equity Advisors March 2000 - Present
Merrill Lynch January 1989 - January 1999
Thomson McKinnon Securities 1983 - 1984
Warburg Paribas Becker 1981 - 1983
Skills
Private Equity, Investment Banking, Venture Capital, Due Diligence, Strategy, Emerging Markets, Fundraising, Management, Start-ups, Corporate Finance, Corporate Development, Equities, Restructuring, Investments, Valuation, Business Plan Developer, Gen Y Career Advice, Writing, Public Speaking, Career Development, Negotiation
Education
The Amos Tuck School at Dartmouth College 1984 — 1986
MBA, 1986
Smith College 1977 — 1981
AB, Economics
Florals by Shari February 2012 - Present
Atlas Securities, Inc February 2006 - February 2007
Charles Schwab & Co. June 2000 - June 2001
Charles Schwab & Co April 1998 - June 2000
Thomson McKinnon Securities January 1984 - January 1984
Skills
Floral Design, Customer Service, Holidays, Sales, Customer Satisfaction, Team Building, Anniversaries, Flowers, Banking, Financial Advisory, Sales Management, Advertising, Leadership, Strategy, Management, Public Speaking, Social Media
Education
Golden Gate University 2002 — 2003
Business Administration and Management, General
Illinois State University 1974 — 1978
Bachelor of Science (B.S.), Mass Communication/Media Studies
Montachusett Opportunity Council, Inc. January 2013 - Present
Harvard Unitarian Church June 2005 - August 2012
First Congregational Unitarian Society of Westborough August 1998 - June 2005
State Street Corporation April 1988 - February 1994
Thomson McKinnon Securities October 1986 - April 1988
Skills
Finance, Portfolio Management, Accounting, Research, Mutual Funds, Securities, Tax, Management, Public Speaking, Community Outreach, Fundraising, Budgets
Education
Boston University
M.B.A
Clark University 1982 — 1986
BA, Economics
Scarsdale High School 1978 — 1982
Wealth Guidance Group Inc. April 2000 - Present
Raymond James Financial Services April 2000 - Present
Prudential Securities 1989 - 2000
Thomson McKinnon Securities 1986 - 1989
Skills
Retirement Planning, Investments, Series 7, Retirement, Securities, Estate Planning, Investment Advisory, Asset Allocation, Wealth Management, Mutual Funds, Series 63, Strategic Financial..., Asset Managment, Divorce Planning, Windfalls and Personal...
Education
University of South Florida 1975 — 1982
BA, Finance
TKF Foundation January 2015 - Present
Edge Communications July 2011 - December 2013
WellPoint October 2008 - July 2011
Harte-Hanks October 2005 - May 2008
Beyond Words Marketing Communications, Inc. October 1992 - October 2005
Goldberg, Marchesano, Kohlman Advertising March 1991 - June 1992
Sonitrol Corporation March 1984 - April 1991
Belzona 1981 - 1984
Thomson McKinnon Securities 1980 - 1981
Feld Entertainment 1979 - 1980
Skills
Integrated Marketing, Marketing Communications, Direct Mail, Direct Marketing, Marketing, Creative Direction, Leadership, New Business Development, Competitive Analysis, CRM, Budgets, Social Media Marketing, Strategic Communications, Market Research, Press Releases, Sales, Email Marketing
Education
University of Maryland College Park 1975 — 1978
BS, Journalism
Hicksville High School 1971 — 1975
Tiptree Financial Inc July 2012 - Present
Tiptree Financial Inc July 2007 - Present
Core Management 2002 - 2007
Foresight Solutions 1999 - 2002
American Business Financial Services 1997 - 1998
Radian 1990 - 1997
Thomson McKinnon Securities 1987 - 1989
Goldman Sachs 1985 - 1987
PricewaterhouseCoopers 1981 - 1985
Skills
Forecasting, Budgets, Accounting, GAAP, Consolidation, Sarbanes-Oxley Act, Cash Management, Tax Accounting, Financial Reporting, Management Reporting,..., General Ledger..., Due Diligence, Auditing, IPO, Strategic Planning, Investor Relations, Rating Agency Relations, Wall St Analyst..., Treasury, Great Plains GL Software, Acquisitions, Statutory Accounting, Payroll and HR, CLOs, Non-performing Loans
Education
New York University - Leonard N. Stern School of Business 1987 — 1990
MBA, Finance
Australian Graduate School of Management 1989 — 1989
International Exchange Program
Baruch College, City University of New York (CUNY) 1977 — 1981
BBA, Accounting
Tata Consultancy Services April 2006 - Present
Wood & Associates October 2001 - March 2006
Cap Gemini Ernst & Young January 1999 - September 2001
Andersen Consulting April 1996 - December 1998
KPMG September 1991 - March 1996
Thomson McKinnon Securities August 1987 - August 1989
Norwest Bank August 1985 - July 1987
Skills
Management Consulting, Business Transformation, IT Strategy, Change Management, Program Management, Business Process..., Business Process..., Business Strategy, Business Analysis, Strategy, Business Process, Strategic Planning
Education
Columbia University - Columbia Business School 1989 — 1991
MBA
DePauw University 1981 — 1985
B.A., Economics
Richmond College (London) 1984 — 1984
semester abroad
Pleasant Valley High School 1977 — 1981
Unleashing Innovation Summit
Unleashing Innovation Summit
Varner Brothers October 1986 - Present
Varner Trading, Inc. May 1986 - October 1997
Varner Trading, Inc. July 1982 - October 1997
Thomson McKinnon Securities November 1983 - May 1986
Skills
Hedging, Risk Management, Sales Management, Financial Analysis, Trading, Derivatives, Microsoft Excel, Commodity, Options, International Trade, Investments, Mutual Funds, Technical Analysis, Commodity Markets, Portfolio Management, Hedge Funds, Commodity Risk..., Management, Strategic Planning, Leadership, Negotiation, Strategy, Sales
Education
University of Mississippi 1978 — 1982
BBA, banking/finance
University of Mississippi - School of Business Administration 1978 — 1982
B.B.A., Banking/Finance
US Department of the Treasury March 2012 - November 2014
William Donovan May 2010 - February 2012
International Finance Corporation August 2008 - October 2009
US Treasury - Office of Technical Assistance December 2002 - August 2008
Donovan Group January 2000 - January 2004
A.G. Edwards & Sons, Inc. January 1996 - January 2000
Alex. Brown & Sons, Inc. January 1991 - April 1996
Investment Counselors of Maryland November 1988 - October 1990
Citicorp March 1986 - May 1988
Thomson McKinnon Securities January 1983 - March 1986
Skills
Housing Finance, IPO, Capital Markets, Fixed Income, training and development, Secondary Mortgage..., Mortgage Securities, Securities, Valuation, Portfolio Management, Mortgage Lending, Investments, Financial Modeling, Credit Risk, Banking, Economics, Risk Management, Finance, Financial Risk, Bloomberg, Strategy, Financial Analysis, Corporate Finance, Strategic Planning
Education
University of Pennsylvania - The Wharton School 1973 — 1975
MBA, Financial Accounting
The Johns Hopkins University 1967 — 1971
BA, Quatitative Studies/Computer Science
Mercer 2010 - Present
ORC Worldwide 2004 - 2010
Towers Perrin 1989 - 1993
Thomson McKinnon Securities 1986 - 1988
Skills
Incentive Programs, Executive Pay, Due Diligence, Human Resources, Performance Management, HR Consulting, Equities, Policy, Corporate Finance
Education
New York University - Leonard N. Stern School of Business
MBA, Marketing and International Business
Georgetown University
BS, Finance and International Management
Nyenrode Business Universiteit
International Finance and Management
University of New South Wales
International Marketing and Management
J.P. Morgan Securities March 2009 - Present
Smith Barney February 2006 - March 2009
Legg Mason March 2003 - February 2006
Prudential Financial July 1989 - March 2003
Thomson McKinnon Securities 1968 - 1989
Skills
Portfolio Management, Wealth Management, Securities
Education
Cornell University
Bachelor's degree, Economics
Dominican Medical Solutions LLC June 2012 - Present
Caudex Companies September 2009 - Present
Crudem Foundation/Hospital Sacre Coeur January 2010 - June 2013
Order of Malta January 1998 - January 2009
EF Hutton and Company September 1983 - August 1984
Thomson McKinnon Securities January 1982 - September 1983
PepsiCo August 1981 - January 1982
Ivan F Boesky & Co June 1980 - September 1980
Skills
University Of Havana...
Education
The School of International Service, The American University, Wash, D.C. 1980 — 1981
B.A./B.A/, Spanish/Latin American Area Studies/Economics
Winter Study in the Republic of Cuba 1978 — 1979
Diplomatic Educational Exchange Program
Universidad Complutense de Madrid 1977 — 1979
Bachelor’s Degree, Spanish History, Political Science
Horatio Street Wealth Management 2009 - Present
Janney Montgomery Scott 2006 - 2008
Sterne Agee 2000 - 2006
The Roosevelt Investment Group May 1999 - May 2000
First Allied Securities/Josephthal Inc. 1996 - 1999
CNBC 1989 - 1996
Thomson McKinnon Securities 1987 - 1989
Education
The University of Connecticut School of Business
Bs, Business Administraton
William hall high school
William hall high school
Signet6 September 1991 - Present
Signet6 September 1991 - Present
Louis Dreyfus Commodities March 1989 - November 1990
Thomson McKinnon Securities August 1987 - March 1989
Drexel Burnham Lambert / EF Hutton September 1982 - August 1987
Education
Memphis State Herff College of Engineering 1978 — 1979
Engineer's Degree, Mechanical Engineering Fluids & Hydraulics
University of Arkansas at Little Rock 1973 — 1978
Engineer's Degree, Industrial and Mechanical Engineering
Brean Capital, LLC September 2014 - Present
Drexel Hamilton, LLC December 2013 - September 2014
Guggenheim Partners June 2011 - October 2013
Keefe, Bruyette & Woods, Inc. December 2002 - June 2011
Banca Antonveneta August 1996 - December 2002
CrossLand FSB January 1994 - April 1996
FDIC - Division of Resolutions January 1990 - January 1994
Thomson McKinnon Securities September 1986 - January 1990
Skills
Investment Banking, Capital Markets, Valuation, Structured Products, Series 7, Structured Finance, Series 63, Private Equity, Asset Management, Fixed Income, Equity Research, Investments, Trading, Bloomberg, Financial Modeling, Hedge Funds, Equities, Derivatives, Portfolio Management, Corporate Finance, Alternative Investments, Finance, Banking
Education
City University of New York-Brooklyn College 1983 — 1986
City University of New York-College of Staten Island 1981 — 1983
General Studies
FISERV - IPS-Sendero 1994 — 1994
Certificate - Financial Modeling, Asset/Liability Management
None
Morgan Stanley Smith Barney 2009 - Present
Smith Barney 2004 - Present
Citi Global Wealth Management 2004 - Present
Citi Smith Barney 2004 - Present
Citi 2004 - June 2009
Prudential Securities 1989 - 2004
THOMSON McKINNON SECURITIES 1971 - 1989
Education
Smith College 1962 — 1966
University of Edinburgh
Ameriprise Financial Services, Inc. December 1999 - Present
J&W Seligman December 1999 - November 2008
Trust Company of the West 1995 - 1999
Continental Asset Management 1988 - 1995
Thomson Mckinnon Securities 1984 - 1988
Skills
Valuation, Asset Managment, Investments, Trading, Portfolio Management, Equities, Fixed Income, Business Analysis
Education
City University of New York-Queens College
BS
Chicago Board of Trade 1988 - 1993
E F. Hutton 1986 - 1988
Thomson McKinnon Securities 1979 - 1986
Oppenheimer and Co. 1977 - 1979
Skills
Fixed Income, Hedge Funds, Capital Markets, Securities, Equities, Trading, Risk Management, Derivatives, Alternative Investments, Investment Banking, Options, Financial Markets, Trading Systems, Series 7, Strategy
Education
Dartmouth College - The Tuck School of Business at Dartmouth 2007 — 2007
Back in Business Executive Education Program
University of Massachusetts, Amherst
BA, English
Deloitte & Touche May 2002 - Present
Deloitte 2002 - Present
Arthur Andersen September 1992 - May 2002
PaineWebber 1989 - 1992
Thomson McKinnon Securities June 1987 - October 1989
Skills
Partnership Taxation, Tax, Tax Advisory, Tax Law, Tax Preparation, Asset Management, Tax Returns, International Tax, Hedge Funds, Accounting, Tax Accounting, Internal Controls, CPA, Sarbanes-Oxley Act, Private Equity, Tax Research, Auditing, Investments, SEC filings, Corporate Tax, GAAP, Income Tax
Education
New York University 1989 — 1992
Master of Business Administration (MBA), Accounting
Rutgers University-New Brunswick 1983 — 1987
Chicago Board Options Exchange 1988 - Present
Thomson McKinnon Securities 1980 - 1988
Merrill Lynch 1974 - 1980
Merrill Lynch 1970 - 1974
Skills
Options, Electronic Trading, Equities, Derivatives, Securities, Trading, Hedge Funds, Equity Derivatives, Options Strategies, Capital Markets
Education
Loyola University of Chicago 1966 — 1969
Bachelor of Arts (B.A.), Political Science and Government
Fenwick High School 1961 — 1965
High School Degree
Triad Securities Corp June 2013 - Present
triad securities corp. January 1994 - May 2013
Bankers Trust 1989 - 1993
Thomson McKinnon Securities 1985 - 1989
Thomson Mckinnon 1985 - 1989
Education
Hofstra University 1981 — 1985
Saratoga Springs High School 1978 — 1981
Credit Suisse First November 2000 - Present
DLJ Securities Inc January 1989 - January 2000
Thomson McKinnon Securities January 1983 - January 1989
Metroplex Auto Repair January 1978 - January 1983
Skills
Market Data, Bloomberg, Capital Markets, Fixed Income, MBS, Trading Systems, Bonds, Derivatives, Prime Brokerage, Securities, Back Office, Settlement, Middle Office, Equities, Portfolio Management, Structured Products, Trading, Equity Derivatives, Swaps, Credit Derivatives, FX Options, Investment Banking, Collateral Management, Interest Rate..., Securities Lending, Electronic Trading, SWIFT payments, Corporate Actions, Equity Trading, Options, Financial Markets, Securitization, Hedge Funds, Market Risk, Foreign Exchange, Bloomberg Terminal, Operational Risk, Emerging Markets, Alternative Investments, Series 7, Series 63, Financial Services, Asset Management, Equity Research
Education
Kingsborough Community College 1976 — 1978
None, Computer Science
Kingsborough Community College 1976 — 1978
Solar Systems, LLC September 2009 - Present
Seaforth-Argyle, LLC June 2001 - Present
Graham, Curtin & Sheridan 1997 - 2001
Bressler, Amery & Ross, P.C. 1991 - 1997
Thomson-McKinnon Securities 1985 - 1988
Skills
Real Estate, Management, Marketing, Energy, Real Estate Development, Solar Energy, Sales, Advertising, Intellectual Property, Joint Ventures, Solar Thermal, Construction Management, Manufacturing, Strategic Planning, Contract Negotiation, Finance, Entrepreneurship
Education
Georgetown University Law Center 1978 — 1982
J.D., Law
Universidad Complutense de Madrid 1979 — 1980
Sciencias Politicas
American University 1974 — 1978
B.A., Political Science
Point Pleasant Beach H.S. 1970 — 1974
Diploma
Insurance Advisors Network, LLC May 2000 - Present
Keystone Financial Bank September 1997 - May 2000
The Dime Savings Bank of NY September 1990 - September 1997
Thomson McKinnon Securities September 1987 - September 1990
Skills
Banking, Fixed Annuities, Insurance, Life Insurance, Investments, Disability Insurance
Education
Baruch College, City University of New York (CUNY)
MBA, Business
Stephen Patti ESQ. March 2003 - Present
Bloomberg L.P. January 2002 - October 2002
Americican Stock Exchange 1990 - May 2001
Thomson McKinnon Securities October 1987 - 1990
Skills
Arbitration, Collections, Compliance, Contract Negotiation, Corporate Law, Courts, Employment Law, Legal Advice, Legal Writing, Litigation, Microsoft Office, Microsoft Word, Personal Injury, Securites Law, Wills
Education
Hofstra University School of Law 1984 — 1987
Doctor of Law (JD), LAW
Brooklyn College 1980 — 1983
Political Science and Government
Fifth Third Bank June 2015 - Present
SalinBank September 2008 - June 2015
Ash Brokerage 2011 - 2014
Morgan Keegan July 2005 - August 2008
First National Bank & Trust June 2002 - June 2005
Robert W. Baird & Co. January 1991 - June 2002
Members First Credit Union (RCA Credit Union) January 1988 - January 2002
Thomson McKinnon Securities September 1986 - January 1988
Education
Indiana University Bloomington 1980 — 1984
General Studies, Education/Business/Econ
Cherry Creek Properties, LLC October 2011 - Present
Clear Creek Consulting April 2011 - Present
Distinctive Properties, Ltd. January 1995 - January 2012
Prudential Securities July 1989 - February 1992
Thomson McKinnon Securities July 1979 - May 1989
City Federal Savings and Loan January 1977 - June 1979
Skills
Contract Negotiation, Sales, Customer Service, Relocation, Product Marketing, Office Management, Microsoft Office, Administration, Retail, Creative Writing, Crisis Management, Microsoft Word, Marketing, Mentoring, Customer Relations, Word, Writing, Problem Solving, Organizing, Short Sales, Luxury, Single Family Homes, New Home Sales, Foreclosures, Real Estate, Referrals, Real Estate Transactions
Education
Colorado State University 1972 — 1976
B.S., Marketing, Retail, Textiles and Clothing, 3.5 GPA
Stafford Hall School of Business 1978 — 1979
Certicate, Business Correspondence, 3.8 GPA
International Ship Repair & Marine Services, Inc. May 2013 - April 2015
Ceres Environmental Services, Inc. June 2010 - March 2013
ITW Paslode September 1996 - July 2009
United States Marine Corps June 2006 - June 2009
Becton Dickinson June 1991 - January 1996
Becton Dickinson December 1988 - June 1991
Permacel Tape (Avery Dennison) November 1985 - December 1988
Thomson Mckinnon Securities January 1984 - November 1985
Skills
Employee Relations, Strategic Planning, Team Building, Supervisory Skills, Negotiation, Budgets, Human Resources, Recruiting, Coaching, Contract Negotiation, OSHA 30 Hour..., Construction Quality..., Employee Benefits, Performance Management, Leadership Development, Talent Management, Leadership, Personnel Management, Program Management, Succession Planning, Management, Payroll, Policy, Onboarding, Training, Sourcing, Employee Engagement, College Recruiting, Applicant Tracking..., Workforce Planning, Talent Acquisition, HRIS, Labor Relations, Deferred Compensation, Benefits Administration, Technical Recruiting, Hiring, Organizational..., Interviews, Temporary Placement, Internet Recruiting, New Hire Orientations, Employee Training, HR Policies, Conflict Resolution, Executive Search, Employment Law, Organizational Design, Organizational..., Change Management
Education
Saint Joseph's University 1981 — 1984
MBA, Marketing
Gonzaga University 1973 — 1977
BBA, Personnel Organizational Management
Morgan Stanley Private Wealth Management June 2009 - Present
Various Non Profit Organizations 2000 - Present
Boy Scouts of America 2011 - 2015
Boy Scouts of America 2011 - 2015
Smith Barney July 2001 - June 2009
UBS Wealth Management 1987 - 2001
Thomson McKinnon Securities 1986 - 1987
Mellon Financial Services Corp 1980 - 1986
Skills
Requirements Gathering, Requirements Analysis, Business Requirements, Project Management, Project Portfolio..., Program Management, SDLC, Financial Services, PMO, Visio, Management, IT Strategy, Process Improvement, Software Project..., Analysis, Banking, Integration, Mainframe, Business Process..., User Acceptance Testing, Analytics, Capital Markets, Business Process..., Change Management, Leadership, Disaster Recovery, Access, COBOL, SharePoint, IT Management, Project Delivery, SQL, Outsourcing, Governance, Product Management, CRM, Business Intelligence, PMP, Systems Analysis, Enterprise Architecture, Resource Management, Business Analysis, Vendor Management, Equities, Fixed Income, Risk Management, Strategic Planning
Education
Rowan University 1977 — 1980
Political Science, Criminal Justice
Rowan University 1977 — 1980
Political Science and Government
EnerSys May 1996 - Present
Yuasa Inc. August 1988 - May 1996
Thomson McKinnon Securities 1984 - August 1988
Helfrecht Machine Co. 1974 - 1984
Skills
Product Management, Key Account Management, Product Development, New Business Development, Sales Management, Marketing, Sales Operations, Pricing, Sales, Advertising, Cross-functional Team..., Customer Service, Training, Product Marketing, B2B, Account Management, Competitive Analysis
Education
Michigan State University - The Eli Broad College of Business 1991 — 1993
MBA, Marketing
Michigan State University 1971 — 1974
B.A., Business Administration
Home Managing DirectorBear Stearns1988 - 2008
Thomson McKinnon Securities April 1986 - August 1988
Chemical Bank June 1984 - April 1986
Skills
Fixed Income, Securities, Hedge Funds, Prime Brokerage, Equities, Series 7, Mutual Funds, Trading Systems, Electronic Trading, Middle Office, Alternative Investments, Options, Derivatives, Equity Derivatives, Credit Derivatives, Series 24, Series 63, Bloomberg, Capital Markets, FINRA, Equity Trading, Structured Products, Market Data, Settlement, COBOL, JCL, SQL DB2, Microsoft Excel, Intertest, Project Management, Business Analysis, Corporate Actions, Trading, Back Office, Securities Lending, Collateral Management, Investment Banking, Full SDLC, IBM Mainframe, Reference Data, Asset Management, Low Latency, Swaps, Portfolio Management, Financial Services, Sybase, ETFs, MBS, Proprietary Trading, High Yield
Education
City University of New York City College 1965 — 1969
Bachelor of Science (BS), Mathematics
Krieger & Prager LLP September 1997 - Present
Alpert & Raice 1993 - 1996
Thomson McKinnon Securities 1985 - 1990
Kronish Lieb Wiener & Hellman 1979 - 1985
Skills
Contract Negotiation, Business Transactions, Securities Offerings
Education
City University of New York City College 1964 — 1968
Bachelor of Arts (B.A.), Economics
Harvard Law School 1971
Doctor of Law (J.D.)
Quest Diagnostics July 2006 - Present
Lincoln Financial Group 1999 - 2006
Delaware Investments June 1993 - June 1999
Vanguard December 1989 - May 1993
Thomson McKinnon Securities 1987 - 1989
Merrill Lynch 1981 - 1987
Corroon & Black Corp. 1978 - 1981
PwC 1970 - 1978
Skills
Enterprise Risk..., Business Continuity..., Sarbanes-Oxley Act, Sarbanes-Oxley, Internal Audit, IT Audit, Internal Controls, Risk Assessment, Auditing, SAS70, External Audit, Fraud, CPA, Management, Finance, Accounting, Financial Analysis, Process Improvement
Education
University of Delaware
BS Acctg., Accounting
Merrill Lynch January 2011 - Present
Merrill Lynch Wealth Management 2011 - February 2011
Morgan Stanley Investment Management 2005 - 2010
Morgan Stanley 2002 - 2005
Morgan Stanley Investment Management 1999 - 2002
Dean Witter Intercapital 1996 - 1999
Nuveen Investments 1991 - 1996
US Healthcare 1989 - 1991
Thomson McKinnon Securities 1988 - 1989
Nuveen Investments 1987 - 1988
Skills
Hedge Funds, Financial Advisory, Separately Managed..., Investment Management, Private Equity, Series 63, Securities, Series 24, Asset Managment, Asset Allocation, Wealth Management, Retirement Planning
Education
Penn State University
B.A., Journalism, Business minor
IUPUI January 1987 - September 2009
Raymond James Financial Inc. December 1996 - May 2001
Thomson McKinnon Securities January 1986 - December 1996
Education
Indiana University Bloomington 1978 — 1982
BA, Economics
Liberty Asset Advisors Inc February 1989 - Present
Thomson McKinnon Securities 1977 - 1989
IBM 1970 - 1972
Proctor & Gamble 1965 - 1968
Skills
Investments, Asset Managment, Strategic Planning, Alternative Investments, Private Equity, Mergers, Due Diligence, Hedge Funds, Financial Analysis, Business Strategy, Asset Allocation, Mutual Funds, Valuation, Retirement Planning, Investment Strategies, Financial Modeling
Education
Xavier University 1970 — 1972
Financial Economics
Ohio University 1965 — 1970
BA Economics
Colerain H S 1961 — 1965
Medical Rehabilitation Centers of Pennsylvania September 2012 - Present
Thomson McKinnon Securities October 1983 - July 1984
Merrill Lynch Pierce Fenner & Smith March 1978 - September 1983
Education
University of Maryland College Park
Bachelor of Science (BS), Textiles and Marketing
Retired and enjoying time to pursue personal interests and family September 2007 - Present
ADP, INC 2000 - 2007
Thomson McKinnon Securities 1981 - 1987
Education
Hofstra University 1972 — 1975
BA, Biology