• Head of Fixed Income Sales and Trading, supervisor over a desk of 10, covering the trading and sales of treasury, corporate, and municipal bonds.• Responsible for trading and sales review and projection presentations to Board of Directors.• Municipal Securities Principal and Supervisor, responsible for all supervisory, risk management and operational roles on the municipal bond trading desk.• Negotiated the clearing contract for the broker-dealer and managed the implementation of the new clearing firm. Point person to clearing firm.

- Responsible for clearing firm contract negotiations. - Managed the conversion of a new firm-wide clearing relationship. - Worked in conjunction with the CTO to create a real-time net capital calculator.- Part of Fixed Income Credit, Sales and Origination Group.

• Manager of 11 employees across middle office, operations and risk management.• Created risk management group focused on monitoring and reporting on firm positions, capital usage and operational risk across all trading desks.• Worked in conjunction with Chief Technology Officer to streamline the CD syndicate process, the facilitation of fixed income trading through ECN’s and the creation of a real-time net capital calculator.• Point person for clearing relationship. Managed all aspects of clearing firm conversion from Bear Stearns to Pershing, LLC and negotiated a >$1million cost cutting conversion to Merrill Broadcort.• Coverage and discretion over institutional equity clients, focused on high volume, momentum trading, generating annual commissions of more than $1.5 million from 1999-2003.• Bloomberg TOMS administrator. * Commodity Trading Advisor, managing outside and proprietary trading capital.* Equity and options Sales Trader.

• Responsible for the trading and position management for Allen Arbitrage, a $150 million Event Driven Risk Arbitrage Fund, trading equity arbitrage spreads, option hedges and straight positions.