CAPITAL MARKETS PROFESSIONAL
Analytical and integrity-driven Capital Markets Professional offering 20+ years of Wall Street investment industry experience. Accomplished leader with rich career successes spanning sales and trading, new business development, vendor relationships, and team building and management. Expansive understanding of market place drivers, changing industry trends and new technologies.
Strong ability to leverage linear thinking skills to rapidly understand new products and services. Proven strengths in relationship development and enrichment, decision making, problem solving, needs analysis, research, and multi-tasking.
~ DEMONSTRATED COMPETENCIES ~
Capital Markets and Structures Brokerage Operations and Administration New Business Development Client Relationship Management Team Building and Supervision Account Management Trading Activities Market Analysis and Analytics
CAREER PROGRESSION
POLYGON RESEARCH ASSOCIATES (KABRIK sister entity), New York, NY……...…February 2008 to January 2009
Managing Director
Chosen to provide leadership within start-up equity research sales and marketing company. Challenged with collaborating cross-functionally to develop unique new business model, secure new business opportunities bridging the needs of independent research providers and end users, and working with technical team members to create an interactive Web site.
Business Model Development: Positioned company for growth by contributing to the creation of the firm’s “Virtual Analyst” Internet-based product. Assisted with Web functionality in support of product development and sales activities.
Sales and Marketing: Researched and identified sales partners to implement distinctive leveraged sales model. Liaised with client base to articulate development of a social media strategy in second phase of business plan.
Content Development: Instrumental in solidifying usability of Web site by identifying, liaising, developing, and supporting Web content in collaboration with client base. Worked with content providers and clients to formulate specifically targeted needs based content.
KABRIK TRADING, INC., New York, NY…………………………………………………September 2006 to January 2009
Vice President of Operations
Hired to collaborate with COO to develop new revenue streams and diversify product portfolio. In charge of managing sales and trading teams, supporting a rebranding initiative, overseeing trading clearance issues, monitoring trading activities to ensure effective transaction management, creating strategies to improve trading order flow, implementing new account acquisition strategies, and handling trading activities during high volume periods. Accountable for managing vendor relationships, developing long-term business strategies, and designing new business growth plans and marketing tactics.
New Business Model Adaptation: Key player who transitioned single product institutional brokerage firm into a specialty broker/dealer focused to meet the needs of small and mid-size hedge funds as well as investment managers. Broadened service offering to include direct market access, outsource trading, capital introduction services, soft dollar strategies, idea generation, and research assistance.
Business Development: Collaborated on long-term business strategies, marketing strategies, and client acquisition and retention. Developed strategies to implement long term goals to deal with the changing market paradigm.
Technology Implementation: Highly involved with the selection of a new trading platform offering more efficient receipt of order flow allowing for increased trading efficiencies. Assisted with the design and implementation of new trading technologies including advanced trade routes, partners, and algorithmic tools.
Marketing: Formulated innovative strategies to meet account acquisition goals and crafted new marketing materials to position firm as an industry leader with valuable and competitive services.
Relationship Management: Contributed to resolving trading platform issues as COO representative tasked with collaborating and managing significant relationships with clearing agent and technology partners.
LABRANCHE & CO, New York, NY 2000 to 2004
WEBCO SECURITIES, New York, NY 1980 to 2000
Managing Director, LaBranche & Co., 2000 to 2004
Charged with creating profitability, trading stocks on the NYSE floor; developing, transitioning, and rejuvenating relationships with listed companies; pursuing new business opportunities.
Return on Capital: Acknowledged as NYSE Specialist with achievements in small and mid-cap stocks. Generated above-average returns of capital balanced with market making requirements.
Profit Turnaround: Restored trading profit by analyzing high-volume trading activity and conducting peer comparison studies. Developed trading strategy combining technical and fundamental analysis to reverse previous firm losses in assigned listed companies.
Revenue Growth: Achieved high level of institutional order flow and block volume by understanding and meeting customers’ expectations and benchmarks while minimizing market impact to reduce trade execution costs. Led to increased order flow and revenues.
Client Relationship Management: Consulted with senior management team decision makers such as CEO’s, COO’s, and CFO’s within assigned listed companies regarding securities trading and market color. Provided guidance on peer comparison, analyst research, industry group trends, and technical trading issues.
Business Development: Strengthened relationships with trading partners through frequent communications, monitoring on-site trading activities, and articulating firm’s value, strengths, and brand.
Executive Vice President / Board of Directors Member, WEBCO Securities, 1980 to 2000
Promoted to manage a 15-person team of Brokers and Clerks, direct capital according to dollar amounts, position, risk, and trade large capitalization issues. Key activities encompassed supervising floor operations, risk management, capital usage, and employee hiring and training activities.
Profit Growth: Instrumental in increasing firm’s revenues and capital by 400% during a 10-year period.
Operational Efficiency Gains: Increased efficiency levels by introducing new operational policies and procedures. Repeatedly achieved or beat all operational benchmarks.
Exit Strategy Development: Teamed with President/CEO to design strategic long-term business plan, and orchestrate sale of company to LaBranche & Company. During this event, interfaced with prospective buyers and advisors, assisted with formulation of final merger strategy and terms.
EDUCATION & ADDITIONAL HIGHLIGHTS
Education Bachelor of Arts, Political Science Drew University, Madison, NJ
Licensure NASD Series 7, 55, 24, and 63 Licenses
Affiliations Security Traders Association of New York Financial Executives’ Networking Group (FENG) FENG Asset Managers’ Specialist Interest Group |
