42 years in the securities industry. Experienced financial principal, chief compliance officer, options principal, investment management consultant, managing stockholder, venture capital, private placements, limited partnerships, mutual funds, and all stocks and bonds. Additionally experienced in fiduciary responsibility providing investment management expertise to nonprofits in preparing and maintaining investment guidelines, investment allocation, manager selection and hiring, manager evaluation, custody, execution review, and evaluation of manager performance. Available to travel on short notice within USA and abroad.
Background
Q: Please list your professional accreditations, degrees, licenses, and certificates granted:A:
Amherst College, 1962, BA with honors in economics
Sales (Assistant Treasurer)
Second District Securities, New York, NY 1962-1965
• Responsible for advising institutional accounts US Government Bond portfolios.
• Developing presentations to institutions.
• Executing Bond transactions for institutions.
• Underwriting municipal bonds.
Sales (Vice President) 1965-1968
Harris Trust and Savings Bank, New York, NY
• Responsible for advising the largest institutional accounts on US Government Bond portfolios.
• Developing and delivering presentations to the largest institutions.
• Executing Bond transactions for the largest institutions.
• Liaison with Federal Reserve Open Market Committee.
• Liaison with House of Representatives Ways and Means Committee.
Sales (Vice President) 1968-1973
JW Gould & Company, New York, NY
• Registered Representative
Arthur Gould Incorporated, Great Neck, NY
• Registered Representative.
• Registered Financial Principal
• Registered Principal
• Registered Options Principal
• CEO – Grew firm from 3 to 24, profitable every year.
Sales (Senior Vice President) 1990-2004
Advest, Inc., York Harbor, ME
• Registered Representative – Top salesperson of 1,600.
• Investment Management Consulting
• Formed Investment Architects within Advest
• Venture Capital
Q: Please list your affiliations or memberships in any professional and/or industry organizations:
A: National Trust for Historic Preservation
Social Enterprise Alliance
Vermont Businesses for Social Responsibility
Slow Money Alliance
Seacoast Local
BALLE
Q: Please list any teaching or speaking experience you have had, including subject matter:
A: The New Hampshire Association of Certified Public Accountants
Third Annual Corporate Pension Funds Summit
Annual Microsoft Management and Technology Conference of the American Society of Association Executives
Annual Meeting of the American Association for State and Local History
Annual Meeting of the Georgia Government Finance Officers’ Association
Third Annual Endowment and Foundation Summit
Fourth Annual East Coast Endowment and Foundation Summit On Investment Management
Third Annual Corporate Pension Funds Summit
Endowment and Foundation Trustee Educational Forum
North Dakota Association of Nonprofits
Annual Convention of the Ohio Health Care Association
Florida Healthcare Financial Management Association
Nevada Healthcare Financial Management Association
Montana Healthcare Financial Management Association
Annual National Institute of the Healthcare Financial Management Association
National Leadership Forum of the National Center for Nonprofit Boards
Independent Schools Association of the Central States
Fourth Annual Institutional Investment Management Summit on Managing Assets in the New Economy
Fourth Annual Pension Fund Consultant’s Circle.
Q: Have any of your accreditations ever been investigated, suspended or removed? (if yes, explain)
A: No
Q: On how many occasions have you been retained as an expert?
A: I have just recently decided to seek retention as an expert, and I am hoping for my first assignment.
Q: For what area(s) of expertise have you been retained as an expert?
A: None yet.
Q: In what percentage of your cases were you retained by the plaintiff?
A: None yet.
Q: In what percentage of your cases were you retained by the defendant?
A: None yet.
Q: On how many occasions have you had your deposition taken?
A: Twice involving personal matters.
Q: When was the last time you had your deposition taken?
A: 2002
Q: On how many occasions have you been qualified by a court to give expert testimony?
A: None yet.
Q: On how many occasions have you testified as an expert in court or before an arbitrator?
A: None, yet.
Q: For how many years have you worked with the legal industry as an expert?
A: Many of my clients over the years have been attorneys.
Q: What services do you offer? (E.g.: consulting, testing, reports, site inspections etc.)
A: I am anxious to provide any services commensurate with my credentials.
Q: What is your hourly rate to consult with an attorney?
A: $195
Q: What is your hourly rate to review documents?
A: $195
Q: What is your hourly rate to provide deposition testimony?
A: $195
Q: What is your hourly rate to provide testimony at trial?
A: $195
Q: Please list any fees other than those stated above (E.g.: travel expenses, copy fees, etc.)
A: I do not charge for travel time except for those hours I am working in transit. Clients are requested to prepay transportation and lodging expenses.
