Deal Origination │ Relationship Management │ Business AdvisoryLead team providing investment banking and capital market services to emerging growth companies and start-ups. Responsible for deal origination and relationship management, working directly with the senior level executives of our corporate and institutional clients.Servicing client’s needs throughout the life cycle of their transaction from, origination, structuring, marketing, distribution and sale. Corporate client’s transactions are marketed to a network of institutional investors that include: venture capital and private equity firms, institutional asset managers, family offices and high net worth individuals. Investment Banking Services:• Deal Origination – merging growth and middle markets• Deal Structuring – public and private, equity and debt• Private Placements• Capital Raising• Special situations• Mezzanine Financing • Strategic AdvisoryBusiness Consulting and Advisory: • Start-up consulting• Strategic Business Development• Organizational Development • Growth Initiatives• Marketing Strategy and Presentation• Sales Presentation• Management Training

Leadership │ Business Performance & Improvement │ Strategic Business DevelopmentResponsible for restructuring the firm’s institutional trading operations. Achieved profitability within four months by re-focusing the firm’s efforts on trading for clients with a specific investment strategy and industry concentration, in conjunction with strategic layoffs and hiring of new strategic employees. Developed new business plan and sales strategy to target business line expansion and client acquisition. Identified, recruited and trained key employees and managers to further assist the firm in driving its’ new business plan.Promoted to Chief Executive Office and Chief Compliance Officer in 2008. Assumed responsibility for leading and guiding the firm across all business lines. Responsibilities included strategic business development of new products and services; either organically or acquired externally by tactically seeking and analyzing joint ventures and or mergers and acquisition opportunities. As CCO, tasked with developing, building-out and implementing the firm’s written supervisory procedures to comply with industry regulations.Key Accomplishments: • Business Performance & Improvement - Grew revenue from $150k/y to over $11MM/y.• Client Acquisition & Relationship Management - Grew customer base from 15 to over 100.• Product Development & Growth Initiatives - Business line growth from 2 to 7 services.• Leadership & Employee Relations - Head count increased from 7 to 50 employees.• Organizational Development - Office locations expanded from 1 to 3 (NY, CT, MA).• Strategic & Tactical Planning - Hired key executives for HR, Compliance, Legal and Operations• Employee Relations - Built HR program including employee handbook, medical benefits and 401k program.• Organizational Efficiency - Built reporting system to monitor manger task, workflow and performance.

Leadership │ Business Development │ Strategic Planning │ Organizational DevelopmentDeveloped and establish a new business line, an off exchange institutional trading desk, to complement M&C’s exchange presence. Tasked with developing, building, implementing and then managing this new business. Responsible for acquiring office space and building out the infrastructure; from office furniture to computer and network systems to attracting and hiring both senior level sales representatives and support staff. Lead sales team and sales strategy. Top sales and client relationship manager accounting for over 50% of the revenue derived from this office location.Key Accomplishments:• Organizational Development & Start-Up - Built-out off exchange securities trading office, handling all phases of the start-up process.• Training & Learning Development, Employee Management - Hired, trained, mentored and managed employees for this location.• Compliance - Regulatory supervisory principal.• Growth Initiatives & Sales - Achieved revenue growth from $0 - $2.5 million in three years.

Account Management │ Team Building │ Client Relationships• Recruited away from Goldman Sachs to add senior leadership and team depth to Deutsche Bank’s U.S Institutional Sales effort upon the completion of their acquisition of BT Alex Brown.• Account management liaison responsible for covering and representing institutional clients in U.S. securities transactions. • Direct internal relationship manager to pension funds, hedge funds and mutual funds.• Grew sales and achieved top 5 ranking with multiple hedge funds, where previously not ranked.• Team member of group tasked to strategically develop an internal/proprietary quantitative fund to implement trading strategies.

Professional Development │ Team Training │ Securities Trading │ Risk Management• Sector head of trading for communications integrated circuits and programmable logic devices securities: AMCC, BRCM, ALTR, XLNX, LSCC, PMCS, MRVL, and VTSS.• Responsible for managing firm risk, pricing blocks and managing S&P inclusions and deletions within the sector.• Liaison between sales and trading, equity research, and capital markets on all stock specific and sector activities.• Worked directly with derivatives trading to enhance trading strategies to generate consistent alpha and enhance P&L.• Member of technology enhancement team tasked with integrating new trading technologies associated with the acquisition of Spear, Leeds & Kellogg.• Responsible for peer performance evaluations and the interviewing and review of new candidates for the financial analyst and associate training programs.Associate U.S. Cash Equities (1996 – 1997)• Responsible for assisting in the trading of lead managed IPOs and Secondary Stock offerings.• Liaison between Trading and Capital Markets on all IPOs and Secondary transactions, providing market information and communicating with GS management and executives of IPO companies as to the trading activity and flow in their companies shares• Member of three person trading team responsible for making markets and trading all listed internet securities.• One of four financial analysts promoted directly to the firm’s associate/MBA training program.Financial Analyst U.S. Cash Equities (1995 – 1996)• NASDAQ trading assistant – actively traded institutional client and principal orders, while managing firm proprietary positions and risk.• NYSE floor clerk - assisting position and flow traders in the execution of institutional client and principal orders while monitoring and reporting market conditions.• One of twenty-five undergraduates’ worldwide select to the firm’s financial analyst training program.