Securities and Trading Expert Witness | Vermont
Securities and Trading | E-694343
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
