St. Petersburg, Florida, United States
As a Vice President of Specialized Products Supervision at Raymond James, I manage the oversight and compliance of a diverse and sophisticated product suite, including alternatives, options, structured investments, swaps, and fully paid lending. With over 25 years of experience in the securities industry, I have developed extensive expertise in fixed income trading, primary market distribution, relationship building, structured product strategies, product and business development, and client service. I have a proven track record of delivering results, innovation, and excellence in various trading, product, and client environments. I have achieved an all-time high for Fidelity Capital Markets' participation in preferred new issue transactions, over 40%, and three consecutive years of record production in structured products. I have also developed strong relations with several high-net-worth clients, resulting in multiple active and ongoing reverse inquiry investment programs. I have contributed to the strategic deployment of a new platform for unit investment trusts, and conducted training sessions for a cross-company initiative, "Winning the Race". I am passionate about mentoring and career development, and have supported, enabled, and empowered my teams and colleagues to achieve their goals and grow their skills.
Optimize Equity, Option, Structured Investment & Cross Asset Platforms
Manage supervision across complex product suite including alternatives, options, structured investments, swaps and fully paid lending offering.
Manage primary distribution of preferred and UIT products for Equity Syndicate group. Develop and advance key underwriter relations with strategic, focused presentations. I have achieved an all time high for FCM participation in preferred new issue transactions, over 40%. I represent the business unit in a strategic effort to deploy a new platform for my second primary product, Unit Investment Trusts.
Primary role was the adoption, distribution, and advancement of Structured Products within diverse sales channels. Achieved 3 consecutive years of record production in structured products. Developed strong relations with several HNW clients resulting in multiple active and ongoing reverse inquiry investment programs. Added my Options Principal, Series 4 to better serve structured inquiries. Additionally managed our structured equity, (hedging and monetization), offering as well as preferred security, UIT, and retail note offerings for various periods of this position. Selected to conduct training sessions for cross company 5 Year Initiative, "Winning the Race"
Actively traded and managed the risk within a diverse array of sectors including: industrial, cable/media, retail, metals-mining, pharmaceuticals and transportation. Built strong relationships with Tier 2-3 institutional and advisory clients. Trained and mentored new traders regarding systems, strategy, and position/risk management. Attained Series 24, General Securities Principal.