Senior VP, Operations

• Feb 2013 - Present

Managing Director

• May 2012 - Feb 2013

Managing Director, Head of Data Management and Business Consulting

• Nov 2010 - Mar 2012

Head of six member business consulting department tasked with the documentation and fulfillment of business requirements for investment banking, research, equity and fixed income trading. Piper Jaffray uses a combination of vendor delivered and organically developed software.-Directly responsible for over $1 mil in non-compensation cost savings in the past 18 months through analysis of business requirements, cancellation and re-negotiation of vendor contracts.-Implemented end to end testing of Fidessa OMS software rollouts improving software reliability, bug identification and tracking, and vendor accountability.Head of the 12 member database and distribution department responsible for the development and execution of firm wide-data storage, delivery and BI strategy. -Conducted proof of concept demonstration project and RFP resulting in contract award to Oracle SOA Suite for Piper Jaffray’s next generation messaging middleware.-Efforts in prototyping potential BI strategies resulted in the development of a fully-automated Equity revenue capture system, providing management improved accuracy, increased visibility, and tracking of customer revenues, resulting in the elimination of one FTE previously performing the task manually.

Managing Director, Head of APT Software Development

• Jul 2007 - Oct 2010

Responsible for the development and support of the algorithmic trading system, including the following systems: -Trading system / OMS -Proprietary trading algorithms -Statistics processes supporting the algorithmic trading capabilities -Middle and back office systems, including Soft Dollar reconciliation

Managing director, Head of Algorithm and Program Trading

• Apr 2006 - Jun 2007

Responsible for a 24 member algo and program desk including:- Full P&L responsibility-Trading and Sales management- Proprietary Algorithmic and OMS software development, testing, maintenance and support.

Principal, Head of APT Software Development

• May 2005 - Apr 2006

Responsible for the development and support of the algorithmic trading system, including the following systems:-Trading system / OMS-Proprietary trading algorithms-Statistics processes supporting the algorithmic trading capabilities-Middle and back office systems, including Soft Dollar reconciliation

Interim CEO

• Mar 2004 - Apr 2005

Assumed the position as interim CEO and President during a time of great uncertainty and difficult business conditions. Initiated a comprehensive review of the business model and initiated changes to bring costs more in line so as to increase competitiveness. -Stabilized the organization, resulting in a re-energized focus on positive business goals and objectives. -Grew market share from 1.0% to 1.35% from August 2004-Dec 2005 with commensurate growth in revenues. -Reduced costs between 10 and 15%; reduced headcount by over 25%.

Director, Trading Technologies

• May 2000 - Mar 2004

Primary responsibility was anticipating current and emerging business requirements, and ensuring the firm’s technology met the trading floor’s needs in a cost effective and compliant manner. -Led a team of Beta testers in the final verification and validation leading up to the successful roll out of the firm’s proprietary quote management system. -Designed, tested and implemented the institutional order handling protocols resulting in the orderly and compliant integration of institutional and broker dealer order flow. -Designed, tested and implemented an automated trading system enabling a single trader to manage multiple market on open or market on close orders and delivered the software within the required time constraints (first usage was Russell rebalance 2003). Performed follow-on business requirements analysis and preliminary design for OPG / MOC trading system using the NASDAQ opening and closing cross algorithms. -Led a consulting team defining the firm’s new IT architecture; authored the business requirements for the firm’s Smart Market Access Routing System. -Participated in NASDAQ Red and Blue Teams as one of two participants from Knight. Actively took part in the definition phase of the NASDAQ opening and closing cross. -Project manager in the testing and roll out of the FlexTrader system on a newly established program trading desk. Assumed a project that was many months overdue; completed development, testing and roll out in two months.

Manager, Navy Marketing

• Jan 1990 - Mar 2000

Ten year career performing marketing, technical sales and project management for complex weapon systems and components to the U.S. Department of Defense and Aircraft prime contractors. BAE systems (1997-2000) - Responsible for Navy marketing and missile systems marketing, and technical sales for electronic warfare components, including antenna assemblies and microwave integrated components. Northrop Grumman 1990-1997 - Responsible for marketing electronic warfare products to the U.S. Navy.

Naval Officer

• Nov 1982 - Dec 1989

Retired Navy Captain (reserve) -Seven year active duty career as an F-14 Radar Intercept Officer; Fully qualified instructor in the F-14 A and A+ aircraft. -Alternate selectee for Navy Test Pilot School -Seventeen year reserve career. Supported the Naval Air Warfare Center (AD) Retired Navy Captain (reserve) -Seven year active duty career as an F-14 Radar Intercept Officer; Fully qualified instructor in the F-14 A and A+ aircraft. -Alternate selectee for Navy Test Pilot School -Seventeen year reserve career. Supported the Naval Air Warfare Center (AD)