Equity Trader

• Mar 2020 - Present

Advisory Trading Manager

• Mar 2019 - Feb 2020

Oversee a six person operational trading team executing Baird proprietary advisory programs for Financial Advisors, including re-balancing mutual fund and ETF models to benchmark parameters avoiding unrealized drift. • Provide trade support to Baird representatives and outside money managers. • Deliver strategic direction and decision making related to the firms operational initiatives. • Create execution plans and coordinate resources within the team to ensure all tactical and planned work is completed accurately and efficiently. • Lead team through strategic projects, build and develop internal structure to support models only trading functionality. • Team supports 160 branch offices in 33 states with 1300 financial advisors. Show less

Analytic Consultant - TPRM Third Party Relationship Management - (Contractor)

• Sep 2017 - Feb 2019

Partner with Wells Fargo Asset Management line of businesses and internal stakeholders to perform end-to end management and governance of Third Party Relationships. Partner with Wells Fargo Asset Management line of businesses and internal stakeholders to perform end-to end management and governance of Third Party Relationships.

Director Equity Trading

• Sep 2006 - Aug 2016

Traded, led, managed and developed a team organized by sector, multi-asset execution included over the counter derivatives, listed options, total return swaps, futures, exchange traded funds and public common equity. Executed orders in line with Portfolio Manager, Analyst and or departmental directives. Analyzed and monitored order flow at all stages of execution with the goal of minimizing alpha detraction and controlling risk. Cognizant of relative trade performance versus sector and/or market benchmark metrics. Formulated trading strategies taking into consideration the implication of trading venue, market mechanics, and the trade-off between risk and implied cost. Extensive understanding of electronic broker sponsored algorithmic platforms, alternative trading systems, as well as smart order routing logic, venue toxicity, fill rates and complex market structure initiatives. • Transformed status quo internal legacy operation and out-of-date processes, adding systems, software, and trading technology to trader desktops to maximize productivity and efficiency, while minimizing risk. • Created and implemented a transparent and comprehensible commission-sharing program under SEC guidelines regarding client commission practices under section 28(e) of the Securities Exchange Act of 1934. • Worked closely with subject matter experts across various internal departments. including IT, legal, compliance, operations, banking, and cash management to develop and implement new and enhanced investment policies. • Key member of numerous internal committees that monitored, governed, and reviewed all aspects of research and trading, developed internal firm wide guidelines to assure and monitor best execution. • Reviewed sub-advisors as part of our brokerage and trading oversight responsibilities. • Contributing member of the Equity Strategy Group and Asset Allocation team. Periodically made presentations to internal and external executive boards. Show less

Head Trader

• Nov 2004 - Aug 2006

Charged with directing and leading an implementation team consisting of two full-time traders and a portfolio analyst. Traded 50-name $8 billion dollar concentrated portfolio of domestic equities contrarian in style, for both long only and hedged products. • Achieved 100% discretionary trading; successfully maximized absolute price performance in volatile markets, including pair, market and dollar neutral execution strategies. Charged with directing and leading an implementation team consisting of two full-time traders and a portfolio analyst. Traded 50-name $8 billion dollar concentrated portfolio of domestic equities contrarian in style, for both long only and hedged products. • Achieved 100% discretionary trading; successfully maximized absolute price performance in volatile markets, including pair, market and dollar neutral execution strategies.

Head Of Domestic Equity Trading

• Feb 1998 - Apr 2003

Managed a team of four domestic sector traders, operations personnel, and assistants within the department. Specific trading responsibility included executing order flow for the Tech, Media and Telecom sectors of an $8 billion dollar flagship small cap growth product. • Tracked and monitored institutional account holdings consisting of over 400 active positions for news and uncorrelated relative performance. Frequently interacted with Portfolio Management on decisions related to best way to enter and exit individual securities. • Assisted in preparation of departmental and compliance reports, daily interaction with fund accounting and custody, supported operations pertaining to trade discrepancies, fails, and custody issues. • Executed orders and handled all information flow for a two person remote management team in Phoenix, Arizona. • Maintained essential records, including trade blotters, daily trade summaries, and cash positions. • ING Group acquired ReliaStar Life Insurance Company on 5/1/2000, ReliaStar acquired Pilgrim America Capital Corporation on 7/22/1999, as a result my role and responsibility increased with each acquisition. Show less

Securities Trader

• Feb 1997 - Feb 1998

Wealth Management Advisor

• Feb 1995 - Feb 1997