Toronto Stock Exchange & TSX Venture ExchangeUnder the TMX Group parent company, Toronto Stock Exchange (TSX) and TSX Venture Exchange (TSXV) provide a unique listing and financing opportunity ($5M to $100M) for companies around the world, including in the United States. As the Head of Texas and Southern United States Capital Formation and Business Development, I am responsible for promoting TSXV and TSX as an exit and liquidity path for VC and family offices for US companies with $5mm+ in revenues and market caps below $200M. Listing on TSXV & TSX provides access to institutional investors and analyst coverage unlikely for small cap companies on the US markets.TSX Venture Exchange is the only regulated public venture capital market in the world and is an alternative to B-D round funding for companies $5M to $30M in revenues looking to access growth capital. With right-sized regulation, access to a robust retail investor market and follow-on financings, and unique listing structures, TSXV can be a great stepping stone to graduating to TSX and eventually interlisting on a US exchange. +130 US companies companies have successfully raised capital via TSX and TSXV. If you are a founder of a US company or a VC of a promising portfolio company, I would be happy to assist in exploring TSX and TSXV and the various offerings including the bought deal concept, SPACs, and the unique Capital Pool Company (CPC) structure.

Identify prospective clients and pitched them on the benefits of investing with VanguardBuilt and maintained relationships with Vanguard clients by delivering customized financial advice and portfolio management guidanceDescribe analysis of client investment risk tolerance, discuss appropriate savings or spending strategies, and provide additional financial planning solutionsImplement wealth building strategies based on Vanguard's investment philosophy and client goals

Monitored firm wide risk within the brokerage department for FINRA complianceResearched and partner with subject matter experts in appropriate lines of business to seek complaint resolutionsAddressed firm wide and client complaints providing a thorough written case study and explanation

Chief Business Development OfficerSpecializing in investment strategy design, asset allocation and portfolio constructionManaged over 25mm+ in private client regulatory assets

Direct contact for multiple institutional accounts, playing critical role in maintaining and bolstering key institutional relationshipsMarketed cash-mortgage and credit products to institutions, including credit unions, banks, hedge funds and money managersInteracted with internal traders to work client orders and hedging when necessaryAssisted in soliciting new issue corporate and securitized deals

Helped manage over 220mm in private client assetsSupported the sales process with ongoing client management including execution of client trades and reviewing client portfolios for changing suitability and positioning levelsAssisted with asset allocation in structured portfolios, managed portfolios and brokerage accounts

Hired as Analyst; promoted to Vice President in 2011Tax-exempt Municipal bond Fixed Income traderFacilitated buying and selling of fixed income securities for UHNW clients, institutional money managers, charitable trusts and non-profitsIdentified client risks and objectives and provided tailored portfolios to mitigate risk, structure cash flow payments or provide capital appreciationPerformed portfolio construction, oversight, maintenance and risk management, implemented institutionally researched driven trade and swap ideas and monitored credit spreads and other market based indicators on a continuous basisKnowledgeable in municipal bonds, treasuries, TIPs, corporates, agencies and convertibles