Expert Qualifications
This highly-qualified securities expert has over 30 years of experience in equity securities and trading. He earned his BA from Saint Lawrence University and holds the Series 7, 9, 10, 24, 55, 63, & 99 licenses. He has held a number of distinguished roles, including the head of global equity sales at ABN AMRO, the CEO and COO of Harborside Securities, and the head of equities at Fidelity Capital Market Services. He has supervised and managed large and diverse sales and trading operations, and has a deep understanding of market structure, electronic trading, and alternative trading systems. Prior to his current position as the managing partner of a securities consulting firm, this expert served as both the chief operating officer and the chief compliance officer for Open Door Securities.
Bio Snapshot
- Location: VT
- BA, English Literature, Saint Lawrence University
- Licensed, Series 7
- Licensed, Series 9
- Licensed, Series 10
- Licensed, Series 24
- Licensed, Series 55
- Licensed, Series 63
- Licensed, Series 99
- Former, Principal, Morgan Stanley and Co., Inc.
- Former, Senior Managing Director, ABN AMRO, Inc.
- Former, Head, Global Equity Sales, ABN AMRO, Inc.
- Former, CEO and COO, Harborside Securities
- Former, Senior Managing Director, Bear Stearns and Company
- Former, Head, Equities, Fidelity Capital Market Services
- Former, Senior Vice President, Fidelity Trading Ventures
- Former, Business Consultant, State Street Global Markets
- Former, Chief Operating Officer, Open Door Securities
- Former, Chief Compliance Officer, Open Door Securities
- Current, Managing Partner, a securities consulting firm
