I have extensive experience in all aspects of equity capital markets. My responsibilities have included
equity capital markets origination, and direct management of the heads of Research, Sales, Trading,
and Sales Trading.
Originating capital markets transactions. Series 79 Investment Banking Principal
Successfully raised equity and convertible Series 24 General Securities Principal
debt for many companies in a multitude of Series 7 General Securities Representative
industries and sectors. Series 63 Uniform Securities Agent
Created and chaired several committees Series 65 Registered Investment Advisor
including Investment Policy and (expired)
Investment Banking Commitment Series 9/10 General Securities Sales
Helped grow a business from pure start-up
to almost $70 million in the span of five
Hired hundreds of employees over my
Helped to build an award winning, top ranked
Successfully built equity capital markets,
convertible trading, risk arbitrage and equity
Outsourced unprofitable or discontinued
operations and operated as a non-core
business within a large commercial bank.
From 2000 to 2010 I was the President, Chairman and CEO of what came to be a highly ranked
regional brokerage firm. During my tenure we grew revenue from zero to almost $70,000,000 with 20
percent pre-tax margins. Throughout my career I have been in areas of responsibility and helped grow new business opportunities and helped turn around unprofitable operations.
President, Chairman and CEO August 2000 to February 2010FTN Equity Capital Markets - New York, NY
As the former Chairman/CEO of FTN Equity Capital Markets where I worked from 2000 to 2010, I have extensive experience in all aspects of equity capital markets.
At FTN (a division of First Horizon Bank) revenues grew from a pure start-up in 2000 to almost $70 million in revenue within five years.
Under my leadership, FTN Equity Capital Markets acquired Cleveland based Midwest Research in 2001 and a boutique investment bank, Alterity Partners, in 2004.
FTN Equity Capital Markets was acknowledged repeatedly as on the "Best of the Street" by the Wall Street Journal, "Best of the Research Boutiques" by Institutional Investor Magazine and was highly ranked by both StarMine and Integrity Research.
FTN was a core research provider for over 1,000 of the largest institutional investors both in the United States and internationally.
During my tenure, the firm completed 40+ investment banking transactions including private and public capital raises and advised on a number of M&A transactions.
As CEO responsibilities included equity capital markets origination and direct management of the heads of research, sales, trading and sales trading.
I founded and co-chaired the Investment Policy Committee and was the head of the Investment Banking Commitment Committee at FTN Equity Capital Markets.
February 2010 to CurrentScura Paley & Company - New York, NY
I joined Scura Paley & Company in 2010 after FTN Equity Capital Markets was discontinued as a non-core asset by First Horizon Bank and a Wall Street career spanning over 25 years in New York City.
I has successfully negotiated deals with a number of companies seeking to raise capital and currently I am in the process of completing a sell-side transaction.
While I remain a partner I am relatively inactive and reside on my 235 year old farm outside Saratoga Springs, New York.
Prior to founding FTN Equity Capital Markets my previous experience, beginning in 1984 includes a position as Senior Managing Director and Head of Institutional Equity Sales for all U.S.
products at ABN AMRO and had multiple offices in the United States and London.
ABN AMRO was one of the largest global investment banks in the world.
At ABN AMRO I was also Co-Chairman of the Investment Policy Committee and a member of the Investment Banking Commitment Committee.
Earlier in my career I was the Head of New York institutional sales in New York for Morgan Keegan, a Memphis based investment bank since acquired by Raymond James.
We I arrived in 1989 the office had been unprofitable the preceding 3 years, we turned it to a profit within 4 months.
Also, from 2000 to 2001 I served on the Board of Directors and was a lead investor in Election.com, the first company to sucessfully conduct a public election over the Internet.
We successfully ran the Democratic Presidential Primary in Arizona in 2000 without a single hack despite over 50,000 attempts per hour.
The company was later sold to Accenture.
Bachelor of Science : 1986Fairleigh Dickinson University
BS : Finance & EconomicsNew Jersey, USAFinance & Economics Attended college part-time will working full time to pay for my own tuition. After graduation I
continued with my MBA but withdrew when daughter was born mid-semester.