Experience

Griffin Securities, Inc.
• United States
• Financial Services
• 1 - 100 Employee
• Director of Trading

  • Nov 2009 - Present

Cure Rare Disease
• United States
• Biotechnology
• 1 - 100 Employee
• Board Member

  • Apr 2019 - Present


KELLOGG PARTNERS INSTITUTIONAL SERVICES

• Floorbroker

  • Sep 2006 - Sep 2009

  Member NYSE Executed orders for customer accounts using NYSE E-Broker handheld, price improvement being main objective. Speak directly with 5 Sales Traders from upstairs desk, as well as speaking with customers directly from several large Institutions. Member NYSE Executed orders for customer accounts using NYSE E-Broker handheld, price improvement being main objective. Speak directly with 5 Sales Traders from upstairs desk, as well as speaking with customers directly from several large Institutions.


NYSE
• Financial Services
• 700 & Above Employee
• Broker

  • 1996 - 2009


TRADITION SECURITIES

• United States
• Financial Services
• 1 - 100 Employee

• Floorbroker

  • Mar 2005 - Sep 2005

  Member NYSE Received and executed orders from Tradition Trading Desk, interacted daily with NYSE Specialists. Member NYSE Received and executed orders from Tradition Trading Desk, interacted daily with NYSE Specialists.



MONANCO BROKERAGE, INC

• Floorbroker

  • Aug 2003 - Mar 2005

  Member NYSE Engaged in the excecution of ADR arbitrage for Member Firms and Hedge Funds. Member NYSE Engaged in the excecution of ADR arbitrage for Member Firms and Hedge Funds.


Security Traders Association
• United States
• Financial Services
• 1 - 100 Employee
• Member

  • 1980 - 2005


MOGAVERO, LEE & CO

• United States
• Financial Services

• Member NYSE

  • Mar 1997 - Jul 2003

  Member NYSE Became member in September 1997. Helped grow firm into one of the larger Direct Access firms on the NYSE. Client blend included large Discretionary Managers, State Pension Funds Mutual Funds, Hedge Funds and small Member Firms. Member NYSE Became member in September 1997. Helped grow firm into one of the larger Direct Access firms on the NYSE. Client blend included large Discretionary Managers, State Pension Funds Mutual Funds, Hedge Funds and small Member Firms.



EAGLE SECURITIES

• United Kingdom

• Phone Clerk

  • Jul 1995 - Mar 1997

  Ran booth for independent broker. Duties included speaking to several Member Firms Ran booth for independent broker. Duties included speaking to several Member Firms



SPEAR LEEDS

• United States
• Investment Banking

• Trader

  • Jul 1994 - Jul 1995

  Directly managed a $5MM short term portfolio of stock options. Responsible for generating investment ideas for a $40MM investment portfolio. Directly managed a $5MM short term portfolio of stock options. Responsible for generating investment ideas for a $40MM investment portfolio.



SAC CAPITAL MANAGEMENT, INC

• Senior Trader

  • Aug 1993 - Jul 1994

  Responsible for all day to day investment / trading decisions on all equity portfolios including NASDAQ listed options and futures. Direct responsibility and managed assets totaling $50MM. Solely developed all portfolio investments through propriety analysis and timing techniques. Responsible for all day to day investment / trading decisions on all equity portfolios including NASDAQ listed options and futures. Direct responsibility and managed assets totaling $50MM. Solely developed all portfolio investments through propriety analysis and timing techniques.



THE ZWEIG ORGANIZATION

• Senior Trader Equity Trading

  • Aug 1988 - Aug 1993

  Daily activities included proprietary account up to $15MM. Executed listed and over the counter equity orders for Zweig Fund, Zweig Total Return Fund and Zweig Hedge Funds all in excess of $1B. Daily activities included proprietary account up to $15MM. Executed listed and over the counter equity orders for Zweig Fund, Zweig Total Return Fund and Zweig Hedge Funds all in excess of $1B.


Matin B Perlman Assoc.
• Trader

  • 1985 - 1987

Century Capital Management
• United Kingdom
• Venture Capital and Private Equity Principals
• Trader

  • Sep 1983 - Feb 1985

Merrill Lynch Investment Managers
• Trader

  • Jun 1976 - Aug 1983