Stephen M. Email & Phone Number

Westlake, Tx

Director for Pledged Asset Line (PAL) program.Senior Manager with direct supervision of Pledged Asset Lines (PAL), high net worth consumer loan portfolios collateralized by brokerage securities. Key oversight responsibilities include loan origination review, collateral review and maintenance monitoring with full overall decision-making authority. Coordinated development of integral control systems and collateral review procedures with large operational teams in San Francisco, Phoenix and Denver. Played a key role in the rapid growth of the PAL product from 2,000 accounts to over 30,000 accounts, generating substantial bottom line bank profits.

Reno, Nevada

Served as Managing Partner for independent Registered Investment Advisor (RIA) specializing in alternative strategy portfolios (equities, fixed income, mutual funds, ETFs, etc.). Spearheaded the launch of the Alternative Strategies Mutual Fund, a unique 40-Act mutual fund comprised of institutional hedge fund managers and strategies, one of the first of its kind in the Morningstar database of alternative mutual funds. Managed and supervised all aspects of the business including operations, compliance, research, trading, administration, sales, marketing, and client relations. Originated strategic business development initiatives with a variety of mutual funds, hedge funds and institutional money managers nationwide.

Reno, Nv

Member of Board of Directors and Executive Committee. Served as National Sales Director and former Chief Operations Officer and Chief Compliance Officer. Generated rapid business development and growth of assets for quantitative investment firm nationwide. Supervised Operations, Sales and Marketing staff while growing firm assets from a few hundred million to over $7 billion during tenure.

San Francisco, Ca

Divisional Operations and Compliance Officer with direct supervision of over 30 retail branch offices throughout the Western United States.

San Francisco, Ca

Operations and Compliance Manager for discount brokerage firm (formerly CD Anderson).

Part of a small group of founding employees of highly successful investment advisory firm (formerly University Securities). Developed trading desk and supervised equity and fixed income trading operations.

Bs, Finance And Marketing

Activities and Societies: Kappa Alpha Order, Deans List, Baseball Team

Mba, Management

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