Interest

Coaching and Tutoring

Summary

Operations Research MBA with demonstrated management and leadership abilities. Experienced in developing and implementing optimal solutions to mitigate corporate risk and direct compliance to contribute to company profitability.

Key competencies:

    1.  Financial Operations                                              5.  Sarbanes Oxley issues

    2.  Portfolio Management                                            6.  Key Accounts/Relationship and Broker Management

    3.  Marketing and Sales Management                      7.  Leadership/Team Building

    4.  Trading/Trading Management

Education

Education

MBA

New York University

BA

Iona College

Work History

Work History
Aug 2011 - Oct 2011

President and CCO

Cygni Securities, LLC
Aug 2011 - Oct 2011

President and CCO

Cygni Securities, LLC
President and CCO at Cygni Securities, LLC.Edit Cygni Securities, LLC

Investment Banking industry

August 2011– October 2011(3 months)

worked on the private placement of deals that began from the investment banking arm of the company. Cygni Securities, LLC is a broker dealer specializing in the marketing of private placement equity and debt offerings in the micro to small-cap market. Our expertise lies in marketing our alternative investment opportunities developed by our parent company, Cygni Capital Partners, LLC. Through our wide network of wholesale broker dealers, high net worth individuals and institutional customers, we are able to provide our clients access to equity and debt capital in a vastly underserved marketplace.

Jul 2011 - Oct 2011

President and CCO

Cygni Securities,LLC
President and CCO at Cygni Securities, LLC.Edit Cygni Securities, LLC

Investment Banking industry

August 2011– October 2011(3 months)

worked on the private placement of deals that began from the investment banking arm of the company. Cygni Securities, LLC is a broker dealer specializing in the marketing of private placement equity and debt offerings in the micro to small-cap market. Our expertise lies in marketing our alternative investment opportunities developed by our parent company, Cygni Capital Partners, LLC. Through our wide network of wholesale broker dealers, high net worth individuals and institutional customers, we are able to provide our clients access to equity and debt capital in a vastly underserved marketplace.

2007 - 2011

Vice President

Credit Suisse
Member of the Credit Suisse Wealth Management, branch management team. Our directive was to find errors before they were commited. I was the Irvine Branch Administrative Manager (BAM), and the fixed income supervisor for the national institutional sales group.
  • Led compliance review for all communications and executed trades for the Irvine and Los Angeles offices to meet FINRA and Credit Suisse rules.
  • Supervised a team of 12 brokers and fixed income sales representatives, supporting institutions and high net worth retail customers.
  • Implemented change management program to foster a better understanding of the need for fixed income compliance in the New York office.
  • Developed a process for fixed income suitability as a function of the client's age and investment experience.
  • Reviewed reports for completeness and audit-readiness.
2003 - 2007

Financial Advisor/Operations Manager

UBS Securities
  • Performed all the wiring of monies to 25+ clients and covered 15 high net worth clients and their personal portfolios.
  • Recruited and trained my replacement to assume my current duties while assuming different responsibilities for cold-calling institutions for cash management needs.
1998 - 2003

Senior Vice President

Merrill Lynch

Senior Portfolio Manager for the Emerging Market Team and manager of all the foreign currency assets of the Merrill Lynch Asset Management group.

  • Managed the global non-dollar fixed income fund which had over $1 billion in assets under management.
  • Managed three to four country specific foreign exchange funds, Deutsche Mark, Japanese Yen, Australian Dollar, and Canadian Dollar.
  • Supervised and managed foreign exchange and trading/compliance portfolio managers.
  • Financial advisor developing new accounts in the Princeton and New York City territories.
  • Prospected and acquired several new accounts, generating over $84M in earnings.
1991 - 1998

Senior Vice President

Lehman Brothers

Managed the Global Sales and Marketing office for Lehman Brothers.  Established offices in New York, London and Japan.

  • Hired and accepted transfers from other areas within the firm to develop the offices.
  • Divided the organization into three distinct groups:  Sales Administration, which was responsible for all the fixed income sales credits from a systems and analytical perspective;  Marketing, which was responsible for the "Giant Experience" and other client functions, and Key Clients and Surveys, which was responsible for tracking the top 100 clients of Lehman, and the Sage project , which attempted to find new clients in Europe and Asia.  To staff these functions I had 3 Senior managers and 8 associates.
  • Promoted in 1995 to Global Sales Manager of the Regional Institutional Sales  Group (RISG), which was comprised of 50 commissioned, sales associates in 7 domestic branches and one branch in Argentina.
  • Through the management of accounts and sales people we were able to develop a P&L of 150MM up from the previous year of 115MM.
  • Managed and promoted one assistant manager to be the New York Branch Manager.

Skills

Skills

Spanish Language

Licenses 7, 8, 24, 63, 66

These are my licenses in the Financial Services Industry.