PROFILE
Summary - Financial services leader - manager and m&a deal roles. MBA-JD-CPA.
Broad career - top institutions (Lehman, Drexel, TMcK), boutiques and the SEC.
Manager - corporate development (5,000+), governance (SEC), new products (Lehman).
Deals - m&a investment banker (Drexel, boutiques) - most industries.
Training - law (SEC), CPA (PW), strategy (Booz Allen).
Objective - Contribute leadership experience, m&a skills, training (law, CPA, strategy).
Role: (1) manager - corporate development, CFO, General Counsel office, (2) deals - m&a deal leader or (3) compliance. Focus: company, investment bank or private equity.
EXPERIENCE
I. Wall Street
Brooks, Houghton & Company New York, NY, 1997-Present
Executive Director of this 15-man, 16-year-old NASD investment bank.
Manage m&a, corp. finance deals. New business winner (vs. 11, 6, 5 firms). Built bridge fund (I-$40M, II-$190M). Responsible for m&a. Advise on compliance (NASD, SEC).
Burnham Securities (AMEC Capital subsidiary) New York, NY, 1993-1997
Managing Director of this corporate finance unit of a brokerage firm.
Co-founded, recruiting Wall Street veterans. Responsible for m&a / venture capital.
Citigroup (Geneva Capital Markets subsidiary) NY/NJ, 1990-1993
Managing Director, East Coast Office. President, sales affiliate.
Managed exclusive sales for this m&a firm.
Drexel Burnham Lambert New York, NY, 1987-1990
Vice President, Private Business Group, Mergers and Acquisitions Department.
Exclusive sales of middle market firms. Deal team leader.
Top producer in Group, last year. Marketing leader (speeches, brochures, branches).
Thomson McKinnon Securities New York, NY, 1984-1987
Director of Corporate Development, Investment Banking.
Deal commitment committee. Restructured IB. Reduced costs. Initiated reports, strategy.
Lehman Brothers New York, NY, 1982-1984
Vice President, Business Development/Planning, Investment Banking Division.
New products team leader. Developed corporate finance products. Resolved tech. issues.
EXPERIENCE
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II. Pre-Wall Street / Professional
Booz, Allen & Hamilton New York, NY, 1980-1982
Consultant, General Management Services Division.
Strategy, financial, marketing studies for financial services, manufacturing, distribution. Cost structures, marketing strategies, operating systems for securities brokerage firms.
U.S. Securities and Exchange Commission Washington, D.C., 1978-1980
Senior Attorney and Attorney-Advisor, Division of Corporation Finance.
Supervised attorney staff. Reviewed filings. Wrote no-action, interpretation letters.
First staff attorney to lecture to Division legal staff. Special projects.
Vorys, Sater, Seymour & Pease Columbus, OH, 1976-1978
Associate Attorney for this 200-lawyer corporate law firm.
Researched and drafted corporate documents.
EDUCATION / CERTIFICATION
J.D., Columbia Law School, 1976
Law journal; Scholarship; Fellowship; Clerkship; Research/Teaching. Edited 2 books.
M.B.A., Columbia Business School (Finance, Marketing, Economics), 1973
Valedictorian (Student Respondent); Pres., 45-man firm; Fellowship; Smith Award.
C.P.A., Price Waterhouse & Co., Columbus, OH and Los Angeles, CA, 1972
Staff Accountant. Audited firms. Passed CPA exam, first attempt. Highest rank, Year 1.
B.S., Ohio State University (Accounting; Economics), 1971
Distinction in Accounting; #7 in college class; 7 honorary societies; 4 scholarships.
Series 7, 63 - NASD
SME (Subject Matter Expert) in Finance - Thomson Media, 2005
Authored 2005 two-course series: Financial Integrity in post-Sarbanes compliance world.
PERSONAL
American Bar Association, American Institute of CPAs, Turnaround Management Assoc.
Active in alumni and conservation activities.
Interests: running (7 marathons); bowhunting (pres., SCI NY Metro), speech, travel.
Married; one child. |
