My 25 years in the Securities Industry have provided a broad experience including:

- Working large institutional orders in NYSE and NASDAQ securities with the goal of providing clients with optimum pricing.
- Hiring, mentoring, incentivizing, and developing trading teams including Sales, Principle, and Agency Professionals.
- Reducing overhead and expenditures by eliminating redundancies, renegotiating vendor contracts, and applying rigid cost/benefit analysis.
- Monitoring compliance related issues including NASD and NYSE (FINRA) audits and inquiries.
- Assisting Corporate Finance with underwriting and advisory business.
- Helping Private Client Group grow retail commissions and recruit financial advisors.
- Strategizing with Senior Management on long-term focus and direction.
- Fundamental investment evaluation including deep value, GARP, arbitrage, and opportunistic analysis.
- Structuring diversified long/short portfolios intended to outperform in various investment environments.
- Employing hedging strategies designed to reduce portfolio volatility and risk.
Professional Licenses include:

- FINRA Series 7 – General Securities Representative
- FINRA Series 63 – State Securities Representative
- FINRA Series 65 – Unified Investment Advisor
- FINRA Series 55 – Equity Trader
- FINRA Series 24 – General Securities Principal