Experience

InspereX

• United States
• Investment Banking
• 100 - 200 Employee

• Account Executive

  • Jul 2020 - Dec 2021

  San Francisco Bay Area InspereX has built a fixed income platform for RIA’s and Institutional money managers to access the bond market. Follow strict Salesforce discipline to manage the full sales funnel from lead to client. • Source leads from multiple data sources • Outbound sales calls to RIA’s and Institutional Portfolio Managers and Traders • Qualify lead, Demonstrate software and Close Deals • Work with clients to buy and sell fixed income and serve as ongoing point of contact



280 CapMarkets is now InspereX

• Advisor Solutions - Business Development Representative

  • Oct 2019 - Jun 2020

  San Francisco Bay Area



Oppenheimer & Co. Inc.

• Financial Services
• 700 & Above Employee

• Registered Client Service Associate

  • Aug 2017 - Apr 2019

  San Francisco Bay Area Open new accounts and ensure all paperwork and procedures are followed in accordance with firm KYC procedures. On boarded new clients to Oppenheimer and ensured a seamless client experience. Perform all cashier functions. Identify attractive fixed income offerings in the marketplace, recommend them to brokers and ensure trades settle correctly.



Charles Schwab

• United States
• Financial Services
• 700 & Above Employee

• Senior Product Manager: Alternative Investment Custody Platform Management

  • Jun 2011 - Dec 2016

  San Francisco Bay Area From inception to implementation I managed the redesign of the Alternative Investment custody offering. Project success was measured by reduced firm wide risk while simultaneously increasing productivity and enhancing the overall client experience. Several key improvements: ● Risk mitigation through a streamlined new product review process that included AML and KYC screens ● On boarded all AI sponsors, both new and existing, to create an excellent client experience and… Show more From inception to implementation I managed the redesign of the Alternative Investment custody offering. Project success was measured by reduced firm wide risk while simultaneously increasing productivity and enhancing the overall client experience. Several key improvements: ● Risk mitigation through a streamlined new product review process that included AML and KYC screens ● On boarded all AI sponsors, both new and existing, to create an excellent client experience and decrease operational risk ● Implementation of an annual review to ensure sponsors continue to meet compatibility standards ● Managed the product re-design program. Work streams included product design, rep training, implementation, and client communication plans. ● Set strategic agenda and created PowerPoint decks for core and steering committee meetings ● Streamlined the Fair Market Value process and eliminated the need to hire contract staff ● Created multiple management reports As part of Schwab AML/KYC program accounts are monitored and flagged if suspicious activity is identified. The client review team then reviewed the customer and their accounts to identify possible violations and report them to corporate oversight. • At the direction of corporate oversight, reviewed high risk customer accounts to identify if the cash movement and account activity is consistent with clients stated business and objective • Created risk reports and presented findings to corporate oversight for final decisions regarding account closers or the need for additional information

• Alternative Investments Manager

  • Sep 2008 - May 2011

  San Francisco Bay Area Issuer Onboarding Manager Created a team of three to Onboard Alternative Investment sponsors onto the Schwab custody platform. The team was responsible for created a seamless Onboarding experience and allowed clients to invest in Alternative’s using their Schwab account. Liaison between various legal counsels Documented listing requirements and articulated them to AI sponsors Hosted meetings between issuers, Schwab and DTCC

• Fixed Income Sales

  • Apr 2006 - Aug 2008

  Sold all types of fixed income products to high net worth retail clients including treasury, agency, corporate, and municipal bonds as well as commercial paper, bond funds and more. Researched and resolved customer disputes; explained to clients the different fixed income products, how they work and their individual intricacies.



Nollenberger Capital Partners

• Trader

  • Jul 2003 - Oct 2005

  Researched, recommended and executed all fixed income trades including; Municipal Bonds, Corporate Bonds; Preferred Stock, Government Agencies and Treasuries. Municipal bond expertise in Non-Rated tax-exempt securities including 1915 Act and Mello-Roos bonds. Researched and recommended multiple fixed income asset classes to high net worth brokers. Found inventory and developed relationships with sell side bond and equity trading desks.



EGS

• Operations Director

  • Feb 2002 - Dec 2002



Charles Schwab

• United States
• Financial Services
• 700 & Above Employee

• Trading Liason

  • Sep 2000 - Jan 2002



Beemac Trading

• Options Market Maker

  • Jan 1998 - Aug 2000

  Successfully traded equity options on the Pacific Exchange as the Lead Market Maker for five stocks: Abercrombie and Fitch, Labor Ready, Staples, Davita Inc and Western Digital. Managed trading account revenues and expenses. Priced options throughout the day using the Black-Scholes model. Assessed risk/reward issues including option time decay and interest rate fluctuations. Performed technical and fundamental analysis of all companies within the firms’ portfolio.