Founder/Dor/Chairman Of Management Committee
Boston, Ma, Us
Founded and headed Avian Securities, a FINRA member, technology/clean energy/med tech focused, institutional research boutique brokerage firm. • Grew firm to always profitable, well respected, full service BD, with over 200 institutional customers, 100+ high net worth customers, covering 150 companies, with employees and assets based in 5 states and 3 different countries• Headed all research efforts including driving 12 industry analysts and cultivating personal relationship with an extensive network of Hedge Funds, Mutual Funds, and PE Funds, private and public companies and their management teams; facilitating the necessary dialog between investors, management teams, analysts, and bankers (many of which inherently do not understand each other’s needs) • FINOP responsible for all accounting functions including all financial and regulatory reporting, budgeting, audit, payroll, and tax planning/positioning, compliance activity including interaction with regulatory agencies (SEC, Justice Department; FINRA, and various state regulators,) SOX Compliance, Focus Filings, OATS reporting, NMS reporting, 606 reporting, writing and maintaining supervisory procedures, AML, counterparty risk evaluations and controls, employee supervision, insider trading assessments and investigations, etc. • Supported sales team and covered a select number of high profile institutional accounts convinced that all manages need to maintain active lines of communications with key customers, so they could adequately and continuously assess the quality and impact of products and services delivered. • Directly involved with over $1B in capital raises; participated in a business plan that brought resources from Israel, Belgium, the UK, and the US together to locate, evaluate, develop, fund and profit from various early stage companies and technologies (primarily in Biotech, medical devices, and high technology.)
