As a veteran of the banking industry, I have extensive experience in asset/liability management, credit markets, structured investments, foreign exchange and financial derivative instruments. I possess the skills necessary to analyze the relative value of complex transactions and have the ability to sell.
Thomson Reuters Eikon
The Yield Book
Excel for Eikon
AdFin for Excel
Capital Markets Specialist
Credit and Rate Markets
Series 7 and 63; Active
ABA Certificate in Business and Commercial Lending; Candidate
Babson College Certificate in Advanced Portfolio Management
Within first 3 months with Thomson Reuters I was asked to be a Lead Markets Specialist in the Americas which requires ongoing peer education thru Webex presentations.
Opened the first repo finance line for 25mm with KGS Alpha in 2011; a new broker/dealer.
Directly responsible for a revenue increase of +12% in fixed income from 2012-2013 while with KGS Alpha as the top three investment banks were reporting -18% for the same period.
Worked directly with a client to develop a liability optimizer using The Yieldbook for funding investments.
Finished in the top quintile of producers 12 of 15 years with Citigroup.
Achieved the Middle Market Securitzation Sales Award at Citigroup in 2004
Achieved "Recognition Club" status 18 of 21 years where applicable at various firms.
No FINRA disclosure events in 29 years as a registered rep.
09/2014 to Current
CAPITAL MARKETS SPECIALISTTHOMSON REUTERS, FINANCIAL & RISK – Saint Louis, MO
As a Capital Markets Specialist focusing on fixed income, foreign exchange and derivatives, I work directly
with clients strategic to the firm\'s success regarding advanced analytical models
in Eikon and Excel.
The client base I serve consists of corporate treasury groups, major accounting firms, lending institutions, and quant trading desks.
I audit calculators to
identify errors, suggest product enhancements and identify inconsistencies in
our content data base.
I respond to
requests globally for assistance directly from clients or from other teams
across Thomson Reuters on issues related to fixed income, credit models, foreign
exchange and interest rate derivatives. Maintaining a high level of knowledge on Thomson Reuters Eikon calculators and Excel
analytical models is critical to this role as is keeping up regulatory trends across
all investment markets. This position requires strong communication
abilities written and verbal as well as critical reasoning skills when
identifying problems and designing expedient solutions. Strong follow-up skills and the ability to
influence people outside of my span of control are also a necessary part of
Within my first three months of hire I was asked to take
on the responsibility of Lead Specialist in the Americas. This requires me to educate colleagues thru
live WebEx presentations on the fixed income, credit, derivative and foreign
exchange capital markets.
10/2010 to 09/2014
Managing DirectorKGS Alpha Capital Markets – New York, NY
KGS Alpha is a New York based broker/dealer initially staffed by former Salomon/Citigroup fixed income sales and trading employees.
I represented KGS Alpha in one of nine satellite offices throughout the United States where I opened and staffed an office in Saint Louis.
My primary focus was to develop and maintain investment banking relationships with corporate and financial institutions while training and mentoring new and seasoned salespeople.
I accomplished this by setting and meeting quarterly cold call and revenue goals.
I worked closely with portfolio managers where I probed, established a need, structured a solution and closed the sale.
During my 3+year tenor with KGS Alpha I generated $4.8mm in revenues.
01/2010 to 10/2010
Investment ProfessionalJP Morgan – New York, NY
My responsibility with JP Morgan was to manage and develop relationships with corporate and financial institutions.
I worked with eight sales professionals covering a broad investor base including insurance companies, commercial banks, GSE\'s and investment management firms.
Additionally, I strengthen relationships by continuously looking for opportunities to cross market other JP Morgan services to the relationships I covered.
03/1995 to 06/2010
Senior Vice President, IFG Middle MarketsCitigroup Global Markets (Salomon Smith Barney) – New York, NY
During my tenor with Citigroup I successfully managed high profiled trading relationships with middle market corporate and financial institutions in Citi\'s IFG (institutional fixed income group) Middle Markets organization.
I consistently ranked in the top quintile of relationship managers measured by transaction revenues.
Directly involved in assisting a key client to develop a discount and medium term note program to fund operations and a liquidity portfolio.
Swapped clients\' new issue debt into floating when they came to market.
Capped clients\' outstanding debt with caps and floating to floating swaps at optimal times.
This position required a self starter that developed and maintained relationships by cold calls.
Alignment as a strategic partner as opposed to a vendor was the key to differentiating myself from my competition.
I complied with and maintained credit lines with my relationships for Fed Funds, interest rate swaps, Repo and term structured repurchase transactions.
Through Successful cross selling I was able to solidify my overall relationships and remain consistent standing as one of the top three dealers with my key accounts.
In my 14+ year tenor with Citi, my average annual revenue production was $1.4mm.
06/1993 to 03/1995
Vice PresidentKidder Peabody & Co – New York, NY
With Kidder Peabody I successfully developed and managed fixed income trading relationships with tier one financial institutions.
I worked closely with portfolio managers to determine their regulatory and investment policies to suggest and structure suitable investments.
Investments I specialized in were credit, rates, derivatives and securitized instruments.
02/1990 to 06/1993
Vice President, Middle Market InstitutionsMerrill Lynch & Co – New York, NY
I cultivated sales and trading relationships with corporate and financial institutions through aggressive cold calling and goal setting.
Strong communication and organizational skills were needed to be successful in this role.
My investment focus was in money market instruments, structured investments and the credit markets.
The client base I targeted initially were corporate treasuries that had excess cash to invest or engage in a "down in credit trade" by issuing commercial paper and investing in a lower rated issuer. This also allowed me to refer potential MTN business our bankers.
When the opportunity arose, I referred business to Merrill Lynch Consulting Services where manager searches and portfolio performance measurement services were needed.