Senior Managing Director and Head of Celadon Capital Markets

• Jun 2021 - Present

Established a Capital Markets Division at Celadon Financial Group, a full service broker-dealer serving financial institutions, hedge funds, money managers and high net-worth clients in the U.S. and abroad. Special focus on servicing technology and financial services companies in both capital raises and structured finance solutions. Additionally, I head up a Special Situations and Credit Institutional Sales and Trading practice that transacts in both the primary and secondary markets. Established a Capital Markets Division at Celadon Financial Group, a full service broker-dealer serving financial institutions, hedge funds, money managers and high net-worth clients in the U.S. and abroad. Special focus on servicing technology and financial services companies in both capital raises and structured finance solutions. Additionally, I head up a Special Situations and Credit Institutional Sales and Trading practice that transacts in both the primary and secondary markets.

Senior Managing Director

• Dec 2018 - May 2021

Oversaw a Capital Markets and Middle Markets Fixed Income Trading Desk within Dinosaur Financial Group that provides liquidity to the Capital Markets primarily through electronic trading. In addition, I'm part of the company's capital markets efforts that services middle market companies for capital raises and other strategic initiatives. Oversaw a Capital Markets and Middle Markets Fixed Income Trading Desk within Dinosaur Financial Group that provides liquidity to the Capital Markets primarily through electronic trading. In addition, I'm part of the company's capital markets efforts that services middle market companies for capital raises and other strategic initiatives.

Strategic Advisor and Board Member

• Sep 2018 - Sep 2019

Mazzaroth is a prescriptive analytics organization focused on using application-optimized proprietary datasets and bespoke artificial intelligence algorithms to address challenging problems in finance, media and beyond. Mazzaroth’s team includes experts with backgrounds in finance and trading, artificial intelligence, quantum physics, media, experimental psychology, and advanced mathematics. We have demonstrated an ability to consistently outperform leading industry approaches in specialized areas of financial asset price modeling, media content revenue prediction, and marketing optimization. We routinely operate on projects with highly sensitive data and disclosure requirements for clients ranging from hedge funds and boutique investment banks to large multinationals. Show less

Independent Director

• Aug 2018 - Aug 2019

I-ON Communications, Corp, (OTCQB: IONI), www.i-on.net, is a Seoul, South Korea based global enterprise software company focused on delivering leading CMS and unstructured data management products and solutions to mid and large-scale enterprises founded in 1999. After being awarded its first of six patents by 2003, the Company has since evolved into an industry-leading and recognized developer of enterprise-class unstructured data management and digital marketing software solutions. I-ON has sold to over 1,000 mid to large clients across numerous verticals in both the private and public sectors, primarily throughout South Korea, Japan and Southeast Asia. The Company has 11 products at market that enable clients to create, measure, and optimizes digital experiences for their audiences across marketing channels and devices. These encompass enterprise web content management (CMS), web experience and service delivery software, digital marketing, smart mobility and analytics tools and energy management systems. I-ON’s large R&D team has designed and developed industry-leading technologies that are compliant with global standards including GS (Good Software) and NET (New Excellent Technology), while holding numerous domestic and global industry awards and recognition from the likes of Gartner and Red Herring. Show less

Chief Executive Officer

• Mar 2015 - Jan 2019

Led a transition of the Institutional Fixed Income business at Capital Guardian, LLC, to a stand-alone investment bank boutique employing 30+ sales, trading, and support professionals specializing Fixed Income Sales and Trading, as well as Institutional Capital Markets activities. The company was based out of New York City, and has significant sales and trading operations in Red Bank, New Jersey and Boca Raton, Florida. Led a transition of the Institutional Fixed Income business at Capital Guardian, LLC, to a stand-alone investment bank boutique employing 30+ sales, trading, and support professionals specializing Fixed Income Sales and Trading, as well as Institutional Capital Markets activities. The company was based out of New York City, and has significant sales and trading operations in Red Bank, New Jersey and Boca Raton, Florida.

Senior Managing Director - Head of Fixed Income

• Nov 2013 - Jul 2015

Principal of the Fixed Income Division that conducts three primary columns of business: MIDDLE MARKET GROUP: This business trades Corporate Bonds, Municipal Securities, Preferred Stock and Hybrid Capital, Structured Notes, Agencies, and Certificates of Deposit for both the firm's internal wealth management network as well as a wholesale downstream dealer community. STRUCTURED CREDIT GROUP: This Institutional trading business offers knowledge-based sales and trading of products that will include, but not be limited to Agency and Non-Agency RMBS, MBS Derivatives, CMBS, CDOs and CLOs, and other esoteric ABS securities. STRUCTURED SOLUTIONS GROUP: This group will offer proprietary products to the market place in sectors such as Insurance-Linked Securities ("ILS"), Re-securitizations or ("Repacks") of debt instrument securities, and other asset-based finances and special situations. Show less

Managing Director - Co-Head of Middle Marks and Rates Group

• May 2010 - Oct 2013

Primary responsibilities include managing a team of 30+ Fixed Income Sales and Trading professionals in the areas of High Grade Corporate Bonds, Municipal Bonds,, Hybrid Capital, Certificates of Deposit, and wholesale origination and distribution of Structured Notes and Insurance-linked Securities. In addition, as Co-head Agency RMBS Group, responsible for all TBA, MBS, and Agency CMO Sales and Trading. Primary responsibilities include managing a team of 30+ Fixed Income Sales and Trading professionals in the areas of High Grade Corporate Bonds, Municipal Bonds,, Hybrid Capital, Certificates of Deposit, and wholesale origination and distribution of Structured Notes and Insurance-linked Securities. In addition, as Co-head Agency RMBS Group, responsible for all TBA, MBS, and Agency CMO Sales and Trading.

Managing Director Fixed Income Head

• Jan 2004 - May 2010

Headed a Sales and Trading team of over 50 professionals focusing on the entire complex of the Fixed Income market. Headed a Sales and Trading team of over 50 professionals focusing on the entire complex of the Fixed Income market.

Vice President

• May 1996 - May 1997

Part of the Principal Finance group that source investment opportunities for the bank. Part of the Principal Finance group that source investment opportunities for the bank.

Vice President

• 1991 - 1996