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Click here or scroll down to respond to this candidateCandidate's Name
Street Address PHONE NUMBER AVAILABLE EMAIL AVAILABLEFixed Income / Director / Manager / Supervisor / Principal / ComplianceBusiness Development / Supervision / WSP Design / Wholesale / Retail / ReportingManagement / Syndication / Lead Audit Exam & Response / Trade Review / P & L Mgmt. / MentoringGenerate substantial and profitable new fixed income/securities business through dynamic supervision and management. Highly skilled in all aspects of investment/fixed income securities, compliance, supervision, financial management, analysis, marketing, and sales. Enable complex and highly technical information to be easily understood and utilized to increase profits and compliance. Visionary manager with internal/external marketing experience, and 40 years of management/operations experience. Successful in organizing, supervising, and leading winning teams in full compliance with securities rules and regulations, firm policies, and WSPs.Continue to manage and supervise trading operations in full compliance with all regulations.Built Noble Capital Partners, Equitas, DeWaay, and Regal divisions into strong profit stream while increasing gross commissions annually.Managed J. W. Korth business and staff while starting a product line that changed the FI business.Developed best efforts debt syndication process and operations for Korth in full compliance with all regulations.Revamped J.W. Korth compliance and wrote operations manual.Handled all relationships/education with outside customers, dealers, traders, and clearing firms.Lead individual for SEC, FINRA, and State audits during exam and response segments.Key Skills: Management, supervision, regulation, communication, education, and fixed income markets. Excellent people and market instincts. Skilled in trading, compliance, clearing, operations, and training. Achieve results quickly and accurately. Highly articulate. Easily relate with all people. Troubleshooter. Intuitive. Creative.EducationMSF, Corporate Finance & International Finance Concentrations 1997 - Walsh College, Troy, MIBS, Marketing 1981 Boston College, Carroll School of Management, Chestnut Hill, MAFINRA Series 7, 24, 27, 53, 63 & 65 licenses. Bloomberg certified. Microsoft Office.Career History and Key AccomplishmentsNoble Capital Partners, LLC Partner 2007-Present Founding Partner with two other equal partners. We started Noble as a dba so that if we were to move where our licenses were held, we would have continuity of a name that our clients and associates would recognize and be familiar with on a more permanent basis. This has worked very well for this purpose as well as marketing and sales. We have successfully built it into a growing profitable business and continue to do so.Regal Securities, Inc./Regal Advisory, Inc. OSJ Principal/Manager/Trading/RIA 2012-Present Moved entire operation from DeWaay to Regal due to DeWaays filing of Form BDW. OSJ Principal and Supervisor of five traders. Expanded operation to service other representatives, additional broker dealers, and RIAs. Worked with firm compliance department to re-write WSPs for positioning, trading, disclosure, mark-ups, etc. to make them more compliant with ever changing regulations. Reviewed all business done though the OSJ and desk. Increased efficiency to handle expanding business. Wrote agreements to enable the growth of business with other parties.DeWaay Financial Network, LLC. OSJ Principal/Manager/Trading 2010-2012 Built fixed income operation for firm. OSJ Principal and Supervisor of three traders. Supervised all aspects of fixed income trading including other OSJs, representatives, and recruited additional traders. Advised all on best execution, suitability, and other compliance issues. Wrote weekly commentary for all representatives to keep them apprised of fixed income opportunities and market trends. Updated WSPs for changes in compliance and markets. Replied to FINRA/SEC inquiries. Firm filed Form BDW in 2012.Equitas America, LLC. - Fixed Income Principal/Manager/Trading 2004 to 2010. Managed fixed-income trading desk of five traders. Supervised 40 representatives fixed income business. Advised all on best execution, suitability, and other compliance issues. Negotiated and obtained agreements to manage assets from new sources as well as bring in new product capabilities. Established new trading desk concept, updated fixed income WSP, and set in place operating procedures to ensure compliance in trading/reporting for TRACE and MSRB. Participated in SEC and FINRA audits and sweeps. Delivered successful marketing footprint and increased fixed-income sales. Obtained agreements to increase business with regional banks, brokerage firms, and money managers. Set up wholesale capability, offering pages, and necessary agreements. Responsible for fixed income compliance, supervision, and oversight. Firm filed form BDW in 2010.J. W. Korth & CO. - Managing Director/Principal/FINOP 1985 to 2004. Managed and supervised fixed-income trading/sales staff of 10-12. Responsible for supervision, compliance, budgeting, marketing, Focus reports, operations manual, NASD/SEC/State audits and reviews. Managed the secondary trading and inventory risks. Ensured capital requirements were maintained. Developed new issue syndication for J. W. Korth increasing revenue by 500% while introducing retail notes to the marketplace. Identified opportunity to change the way corporations issued debt. Wrote marketing literature to educate dealers, traders, and retail customers about the product. Negotiated clearing arrangements and MSDAs with participating dealers. Set up and ran operations to insure the lowest cost of issuance available at the time.Wall Street Clearing CO. Manager/Trader Fixed Income Desk 1983 to 1985. Educated sales representatives about fixed income trading, operations, and procedures for transacting business. Joined correspondent firm J. W. Korth & CO. in 1985 and moved to their Michigan headquarters in 1986.Other ActivitiesTrustee - Waterford Township, MI (7/2018 - 11/2020)Board Member Waterford Township ZBA since June 2021Board Member Waterford Township Planning Commission since June 2021Board Member Waterford Township Civil Service Commission since August 2022Advisory Committee Member - Hess-Hathaway Park, Waterford Township since 2012Director, CCUB VIBE Credit Union, Novi, MI (Audit Committee Chair, ALCO Committee)Volunteer - Various leadership positions for 30+ years at St. Patrick Parish, White Lake, MIFounding Member - Knights of Columbus Council 13319, St. Patrick Parish, White Lake, MIDelegate - Oakland County, MI (2014 2022)Member - Waterford Township Chamber of CommerceObjectiveTo obtain a position that will enable me to use my experience, skills, and education to enhance the firm, the position, and myself.ReferencesAvailable on request. |
