Results-focused Executive-Level Business Leader specializing in driving operations growth, managing large-scale investments, analyzing key markets, initiating successful start-up ventures, providing world-class client relations, and cultivating a strong brand image eager to offer 20+ years experience toward maximizing an employer s profits.

 

 

         Ambitious self-starter who demonstrates a proven record of outperforming markets for 20+ years, along with providing value-added services to the mutual fund community, proprietary investing operations, financial professionals, and key investors.

         Integral leader who excels at aggressively identifying lucrative revenue-boosting opportunities, defining targeted strategies for capturing new business, developing an existing client base, and attaining solid leveraging in competitive financial markets.

         Out-of-the-box thinker who contributes strong portfolio management skills while navigating complex financial environments.

         Top performer who plans, prioritizes, and manages multiple tasks within fast-paced, high-pressure situations to meet all goals.

 

 

Portfolio Management   Sales / Marketing Analysis   Policy / Procedure Development

Profit & Loss Responsibility    Legal / Regulatory Compliance    Short- / Long-Term Financial Plans

Client / Business Relations    Accounting / Bookkeeping    Economic Planning / Analysis

 

Managing Partner

 

         Utilize broad scope of industry and financial knowledge to serve as Co-Founder and Principal overseeing operations of a registered investment advisor and hedge fund, including directing all aspects of portfolio management, marketing, legal and compliance, prime brokerage, fund administration, accounting and taxation, office administration, web design, networking, and IT.

         Co-manage a portfolio of assets employing a strong long / short equities strategy focused on capital preservation and employing fixed income, options, and futures investing, along with constructing a portfolio of long / short equities using personal proprietary criteria and algorithms created from 20+ years of using WONDA consisting of 55,000+ corporations worldwide.

 

Chief Portfolio Manager / Vice President

 

         Led strategic decision-making for a national brokerage and registered investment advisor, including managing in-house capital of the firm s equity and commodities accounts, as well as directing comprehensive institutional services and in-house research.

         Launched a thriving institutional brokerage operation advising $1 billion+ in DVP and custodial assets, along with effectively maintaining a personal arm of trading operations, developing necessary controls, and producing research for firm and brokers.

         Recognized for job performance excellence as a top producer among a group of 650 representatives while contributing expertise with all underwriting and due diligence in IPO, PPO, PIPE, and private placement arenas.

 

Senior Vice President / Account Executive

 

         Strategically steered the development, management, marketing, and growth of a diversified group of retail clientele investing in equities, fixed income, and mutual funds, including creating and managing a personal branch from the ground-up encompassing all portfolio management, legal and compliance, office management, internal controls, IT, and customer service.

 

 

 

Account Executive / Registered Representative

 

         Exceeded objectives by promoting firm equity and fixed income investments to retail clientele investing in equities, fixed income, and mutual funds, along with personally overseeing client assets and supporting procurement of self-directed investing strategies.

 

Surplus Lines Insurance Broker

 

         Built and sustained profitable business operations by specializing in property, casualty, umbrella, and excess lines coverage through the Illinois Insurance Exchange and Lloyds of London which was instrumental in maximizing bottom-line performance.

 

 

Extensive Business Administrative Coursework                                                                                                   Fullerton College

 

ISO Certified Commercial Lines Coverage Forms                                   Insurance Education Association of California

 

NASD / FINRA Series 7 & 63 Licenses (Since 1991)                         National Association of Securities Dealers / FINRA

 

CANSLIM.net Investing Workshop             Investor s Business Daily Market Wizards, William O Neil, David Ryan

 

William O Neil Direct Access® (WONDA) • Bloomberg Professional • FixQ • MS Office Suite • OneNote • Groove • InfoPath

WordPress • Adobe Acrobat Pro • eSignal Pro • TradeStation • Neovest • QuickBooks Pro • Back Office Systems (i.e. Fidelity)

 

 

Recognition within Published Book (Rear Cover)

Trade Like Bill O Neil: How We Made Over 18,000% in the Stock Market in 7 Years

Gil Morales & Chris Kacher, Wiley Trading, Copyright 2010

 

Recognition within Newspaper

The Orange County Register (2000 C 2003)

Apr. 1^st, 2003 CWar Weighs On Stocks Many Analysts See Little Reason for Optimism

Sept 22^nd, 2001 CWhat a Slump The Markets Decline in Wake of the Terrorist Attacks"

Sept 18^th, 2001 C Investors Dump Shares as Concerns Grow That the Economy Will Head into Recession

Apr 19^th, 2001 C Wall Street Rally from Rate Cut Fuels Hope

Apr 19^th, 2001 C Fed Digs Spurs into Bull

Mar 31^st, 2001 C Markets Give O.C. Sour Taste

Mar 11^th, 2001 C What Should I Do With My Investments?

Dec 3^rd, 2000 C Broadcom Discovers Gravity

Nov 25^th, 2000 C O.C. Stocks Rewarded In Nasdaq Rally

Nov 11^th, 2000 C Uncertain Outlook Spooks Wall Street

Oct 13^th, 2000 C Ticker Shock

Oct 29^th, 2000 CHot & Cold Technology Stocks Plunge

March 31^st, 2000 C Self Defense Against Stocks

 

Community Activities

Co-Founder

Investor s Business Daily Meet-Up Group, Irvine, CA