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Boustead & Company Limited (BCL), Boustead Securities, LLC (BSL), Sutter Securities, Inc. (SSI), Sutter Securities Clearing, LLC (SSC), Sutter Securities Group, Inc. (SSG), Sutter Securities Financial Services (SSFS) and Sutter Securities Financial Services, Inc.
Managing Director
Managing Director
Senior Managing Director
Board Member SSI
Founder & Managing Director SSG
Managing Director
Senior Managing Director
Senior Managing Director BIO
Senior Vice President of Investments
Chairman & Senior Managing Director SSI, SSFS
Senior Managing Director
Senior Vice President of Investments
Senior Managing Director
Account Executive
Director, Operations
Managing Director
Senior Managing Director
CEO BSL, SSG, SSI, and SSC, CFO BCL
Chief Compliance Officer SSI
Senior Managing Director
Operations
Managing Director
Managing Director
Managing Director
Senior Vice President of Investments
President SSC, Executive Vice President SSI
Senior Managing Director SSI
FINOP and CFO SSC, SSI, and and Chief Compliance Officer SSC
Head of Syndicate
Head of Trading
Senior Managing Director
Where wisdom meets agility.
Learn more about our firm's background and investment professionals on FINRA's BrokerCheck.
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Tad Bull joined Sutter Securities Clearing, LLC in 2017 as the Firm’s Financial Operations Principle. Mr. Bull has over 25 years of experience in the brokerage industry. Starting his career in New York City as a founding member of K. Aufhauser & Company. Aufhauser developed the first internet stock trading platform. Mr. Bull established the equity trading desk and held executive management committee positions within the operations and compliance departments. TD Ameritrade Corporation purchased Aufhauser in 1995.
After the completion of the sale of Aufhauser Mr. Bull established RLB Securities, Inc. and Rubicon Consulting Group, LLC both of which are consulting firms specializing in financial and investment banking regulatory compliance.
Mr. Bull holds a Certified Regulatory Compliance Certificate from Georgetown University. Mr. Bull holds FINRA Series 4, 7, 24, 27, 55, 63, and 65 licenses.
Registered with Sutter Securities Clearing, LLC and Sutter Securities, Inc.
Joanne Park has worked extensively in the financial services as a regulatory attorney and chief compliance officer for almost 20 years supporting registered investment advisors and broker-dealers which offer mutual funds and private funds such as hedge and private equity funds.
Ms. Park holds a Bachelors from Carleton College, Masters from Harvard University and Juris Doctorate from Loyola University Chicago School of Law. She is a member of the New York State Bar.
Holds FINRA Series 7, 24, 63 and 79 licenses.
Registered with Sutter Securities Clearing, LLC
Lincoln “Joe” Smith is the Chief Compliance Officer of Sutter Securities, Inc. Mr. Smith has over 25 years of experience in the financial services industry. He started his career in Washington, D.C. with Folger, Nolan, Fleming Douglas, an NYSE broker dealer, where he served in successive roles ultimately leading to working on the equity trade desk as a trader. He then joined FINRA’s (f/k/a NASD Regulation) Enforcement Department where he was the lead examiner on all matters related to day trading. In 1999 he left FINRA to join the compliance department of Friedman Billings Ramsey & Co. (now B. Riley FBR) where he spent nearly 20 years overseeing multiple compliance related areas including anti-money laundering, creating and implementing written supervisory procedures, registration, continuing education, and managing conflicts of interest. In this role he was also responsible for interactions (e.g. examinations, inquiries, etc.) with industry regulators including the SEC and FINRA.
Mr. Smith holds a B.S., Criminal Justice and Psychology degree from Radford University.
Holds FINRA SIE, Series 7, 24, 53, 55, and 63 licenses.
Registered with Sutter Securities Clearing, LLC and Sutter Securities, Inc.
Mr. Gurley joined Sutter Securities, Inc. 2021 and brings substantial capital markets and corporate finance experience to client engagements across many sectors. He has assisted entrepreneurs, investors and shareholders of companies by facilitating growth, increasing shareholder value and creating liquidity events through recapitalizations and equity financings.
Prior to joining Boustead, Mr. Gurley advised numerous start-ups in the Los Angeles Ecosystem. In addition, Mr. Gurley served as an investment banker and sales/trader for Newport Coast Securities, based in New York. There, he established the first New York branch which became one of the highest-producing branches at the company.
Mr. Gurley worked for 15 years at East Shore Partners, creating the company’s first Options Division, which went on to become the highest-margin business for the company. Mr. Gurley specialized in Biotechnology stocks, working on the sales trading desk and in conjunction with the senior partners of the firm. Before joining East Shore Partners, he served as Vice President at Gruntal and Company where he built his institutional business.
Mr. Gurley holds a Bachelor’s Degree in Business in Finance and MIS, from The University of Virginia.
Holds FINRA Series 7, 24, 63 security licenses.
Registered with Sutter Securities, Inc.
Princess joined Boustead Securities as a Managing Director in 2020 and began her career at Merrill Lynch Wealth Management after 15 years as an academic researcher and higher education leader at the University of Vermont.
Prior to acquiring her FINRA licenses at Merrill Lynch Wealth Management, she developed and led a $15 million international Pre-Master’s program to recruit students from China, Indonesia, Bangladesh, Iran, and Korea.
She is a published academic scholar and author of two books, and several articles. During her doctoral studies she was asked to be a global cultural bearer within the Ilokano ethnolinguistic indigenous hand-tap tattooing community.
Her combination of interdisciplinary leadership and her knowledge of global communities and their markets positioned her to enter the financial industry as a trusted advisor to higher education faculty leadership and researchers, global cultural arts equity groups, and institutional business development consultant.
Princess is a graduate from the University of Vermont with degrees in Social Work and Interdisciplinary Studies and has completed her doctoral studies in Education Leadership and Policy.
Holds FINRA Series SIE and 7 licenses.
Registered with Sutter Securities, Inc.
Greg Yankovsky joined Boustead Securities, LLC in 2020 as Senior Managing Director. Born and raised in Japan, Greg came to the U.S. at age 18 and is a U.S. Air Force veteran.
Greg, based in Las Vegas, began his securities work at Bateman Eichler Hill Richards. From 1985 until 1995 Greg worked in branch management at Paine Webber. In 1995, Greg transitioned into independent production, working in clearing through Bear Stearns, Fidelity and Pershing. Other firms Greg has worked with include Capital Bay Securities, Roundhill Securities, Genesis Merchant Group Securities, National Securities, and McNally Financial.
Greg received his BA from Stanford University in 1969 and has a working knowledge of Japanese and Russian.
Holds FINRA Series 4, 7, 9, 24 and 63 licenses.
Registered with Sutter Securities, Inc.
Philip Peredo is a Managing Director of Boustead Securities, LLC and Sutter Securities, Inc. and is based in Las Vegas, Nevada. Prior to Boustead and Sutter, Phil was a Financial Advisor at Merrill Lynch. Phil is also an investor in the entertainment and hospitality industries in Las Vegas and Southern California.
Originally from the New York City area, Phil operated an offshore outsourcing and procurement business for several years. He has also spent time in the non-profit world as a Director at Goodwill Industries. Prior to this, Phil worked in the Procurement Office of the law firm of O’Melveny & Myers. Phil spent his early career in government and electoral politics prior to entering the business world as a Congressional Staffer, elected official, and White House Intern.
Phil enjoys stand-up comedy and playing tennis in his free time.
Holds FINRA Series 7 and 66 licenses.
Registered with Sutter Securities, Inc.
Frank Sorbara joined Boustead Securities, LLC and Sutter Securities, Inc. in 2021 and is a 25-year veteran of the securities industry, beginning his career on Wall Street in the heart of the financial district before moving to Florida in 2010. Prior to joining Boustead, Frank was a Vice President at Westpark Capital, Inc. and worked on syndicate transactions such as IPOs and Secondary Offerings. Prior to Westpark, Frank spent 13 years at Joseph Stevens.
Frank works with high-net-worth individuals, and well as institutions, to navigate the myriad of opportunities available in the marketplace to invest in growth companies. Frank is well versed in SPACs (Special Purpose Acquisition Company), IPOs, secondary financings, and private placements, and has built lifelong client relationships. On a personal note, he is an avid fisherman, huge football fan and father of three.
He holds FINRA Series 7, 9/10, 63, and SIE licenses.
Mr. Gus Rodrigo III, a native Floridian, joined Boustead Securities, LLC. and Sutter Securities in 2021. Mr. Rodrigo III is a 20-year veteran and has over two decades of experience in the banking industry. Prior to joining Boustead, Mr. Rodrigo III worked at Westpark Capital, Inc., a full-service investment banking and securities brokerage firm. During his tenure, Mr. Rodrigo III was a top producer and participated in hundreds of IPOs, PIPEs, and secondaries which ultimately led to capital raises in excess of $1,000,000,000. Previously Mr. Rodrigo III worked for Investors Capital Corporation (ICC), a publicly traded and nationally recognized broker dealer. While there, Mr. Rodrigo III helped establish a team of brokers with ultimate accountability for the management of 1,000’s of accounts and portfolio assets in the tens of millions.
In his spare time, Mr. Rodrigo III enjoys traveling the world with his wife, Dr. Fanny Gonzalez, and his two daughters. He also enjoys bicycling and playing racquet ball. Mr. Rodrigo III holds FINRA Series 7, 63, and SIE licenses.
Philip Rosensweig joined Boustead Securities, LLC and Sutter Securities, Inc. in 2021 and has been distributing syndicate and investment banking products, including SPACs, for 37 years. While studying at Pace University, Mr. Rosensweig interned on the floor of the New York Stock Exchange with Spear Leeds and Kellogg as a Specialist’s Assistant. Upon graduation Philip became a Municipal Bond Account Executive for Liss, Tenner and Goldberg. Mr. Rosensweig relocated to South Florida to work for Prudential Bache Securities and enter their training program. Philip was promoted to Vice President, and then to Miami office Sales Manager. Mr. Rosensweig then joined Smith Barney where he attained the recognition of membership in the Regional Director’s Club and a served as Regional Liaison to the Investment Banking Department. After leaving Smith Barney, Mr. Rosensweig joined Dean Witter (now known as Morgan Stanley) and served as Senior Vice President, receiving multiple awards for Executives in Insurance and Annuities, Mutual Funds (InterCapital), and the firm’s Equity Club (Top 100 producing stockbrokers).
In July 1999 he established Financial Advisors.com, dba The Financial Advisor’s Network, to facilitate the distribution of syndicate and investment banking products though the Independent Broker Dealer and Registered Financial Advisor channels.
Mr. Rosensweig has appeared live and recorded for local television newscasts for both channels 4 and 10 (Miami, Florida), and by The Miami Herald, El Nuevo Herald (local Daily Newspapers) to speak at their “Making Money” conferences. In 2006, the SunPost (a local Miami Beach newspaper) named his company “Best Financial Advisors.” Mr. Rosensweig, a graduate of Pace University holds FINRA series 6, 7, 52 and 79 licenses.
Chris Gardner is a Senior Managing Director at Sutter Securities. Gardner is the CEO of Happyness and his first book, ‘The Pursuit of Happyness’ became a New York Times and Washington Post #1 Bestseller that has been translated into over 40 languages including 6 dialects, and is currently being translated in Arabic for the first time.
Gardner’s book inspired the critically acclaimed film of the same name, starring Will Smith playing Gardner, who received a Golden Globe, Screen Actors Guild and Academy Award nomination for his performance. Gardner’s second bestselling book, “Start Where You Are” was published in May of 2009 – a year into the Global Financial Crisis.
In the early 1980’s, Gardner became a working homeless Veteran with a toddler son. Without knowing the names, circumstances, social or social conditions, Gardner consciously chose to break every cycle that he was born into. Child abandonment, Child abuse, alcoholism, domestic violence, fear, poverty, and illiteracy. He also decided that he would become WORLD CLASS as whatever he did in his life. This decision led him to a career on Wall Street. He now has over 30 years of experience in the financial services industry.
A very big part of what Gardner wants to do with the rest of his life is simple; he wants to help create the next ‘Chris Gardner.’ The message is equally simple; If I can do this, than you can do that.
Holds FINRA Series 7, 24, 27, and 53 licenses
James joined Boustead Securities, LLC and Sutter Securities, Inc. in 2021. Prior to joining Boustead, James was a Financial Consultant with Westpark Capital, Inc. where he focused on retail investors’ participation in syndicate transactions such as IPOs, Secondary Offerings, and the warrant exercise process.
James Munro was born and raised in Washington State. He attended college at Florida International University in Miami, where he graduated in 2018 with a BS in finance. A nature enthusiast in his free time, James enjoys fishing, hiking, kayaking, and volunteering his time to organizations that better the environment.
He holds FINRA Series 7, 24, 66, and SIE licenses, as well as Florida Variable Life & Health 2-15 licenses
Mr. Mollard Joined Boustead Securities, LLC and Sutter Securities, Inc. in 2021 as Head of Syndicate, a role he has flourished in over the last six years of his career. He is an 18-year veteran in the securities industry, mostly focusing on the placement of new issue IPOs and Secondary Offerings. Mr. Mollard brings experience, connections and work ethic to the Boustead brand, as he works to expand the firm’s syndicate distribution.
Prior to joining Boustead Securities, LLC and Sutter Securities Inc, he spearheaded the expansion of West Park Capital Inc.’s Syndicate Department. During his Westpark tenure Mr. Mollard successfully placed more than $500,000,000 worth of new issue IPOs and Secondary Offerings as a consistent top producer. The total size of the 1,000 or so offerings Mr. Mollard has been involved in is greater than $1,000,000,000. Prior to Westpark, Mr. Mollard held Sr. Vice President positions at Aegis Capital Corp and Dawson James Securities where he managed accounts for high-net worth individuals.
Mr. Mollard grew up in Newton, MA where he attended The University of Massachusetts, Amherst. He enjoys spending time with his fiancé and two children, watching sports, traveling, and exotic sports cars (one pictured above). He holds FINRA Series 7, 63 and SIE licenses.
Roberto Villaseñor has been involved in Mergers & Acquisitions, Valuations and Corporate Finance for over thirty years, including exclusive sales of companies, Fairness Opinion Letters, restructurings, divestitures, joint ventures, strategic alliances and capital raisings – such as public offerings and private placements. Mr. Villaseñor’s career experience encompasses over 100 financial advisory assignments and transactions totaling over $1 billion in value in industries such oil & gas, chemicals, retail, apparel, food products, medical products, building products, commercial banking and Internet technology services.
In addition to advising companies as an independent investment banker in New York City and Southern California, Mr. Villaseñor has had significant experience in M&A and Corporate Finance at the major bracket New York investment banking firm Wertheim Schroder & Co.,
Inc., and the New York M&A firms Financo, Inc. and Translink International, Inc. (Swiss based firm concentrating on cross-border middle-market transactions). Earlier in his career Mr.Villaseñor was involved in corporate planning, valuations and M&A at the multinational energy company Conoco, Inc., covering the areas of refining, chemicals and pipelines.
Additionally, Mr. Villaseñor has provided Litigation Support Advisory (including forensic accounting) and has worked as a CFO/Sr. VP Finance of two Southern California start-up Internet technology service companies, U.S. Encode Corporation and Nami Media Inc., and CFO of a small New York publicly traded mini-conglomerate, DSI Industries, Inc.
Mr. Villaseñor’s educational background includes an MBA in finance and accounting from Stanford Graduate School of Business in 1978 and a BSE in Chemical Engineering from Princeton University with a concentration in Polymers, Business and Economics in 1976.
Matthews has more than 50 years of experience in investment banking, having worked with a wide variety of clients in mergers, acquisitions and divestitures, friendly and unfriendly tender offers, public and private offerings of securities, recapitalizations, bankruptcy and other financial restructurings, and international transactions. Matthews joined Sutter Securities Incorporated in San Francisco as a Senior Managing Director in December 1995 and became Chairman in December 1997.
From 1960 through 1995, Matthews was with Bear Stearns in New York. He was a Senior Managing Director of Bear, Stearns & Co. Inc. and was a general partner of its predecessor partnership, Bear, Stearns & Co. He was in the Corporate Finance Department from 1967 through 1995 and a security analyst from 1960 through 1967. From 1970 through 1995, he was Chairman of Bear Stearns’ Valuation Committee, which was responsible for all opinions and valuations issued by the firm.
Matthews has testified as an expert with respect to investment banking practice, corporate valuation, fairness, and other issues in numerous Federal and state courts and before regulatory agencies.
Matthews received an A.B. from Harvard and an M.B.A. from Columbia, and is a Chartered Financial Analyst (CFA). He has spoken on fairness opinions, valuations, and related matters before numerous professional groups, including the American Society of Appraisers, the American Bar Association Continuing Legal Education, the New York City Bar Association, the American Electronics Association, the Organismo Italiano di Valutazione and The American College of Trust and Estate Counsel. Matthews has written several book chapters and articles on fairness opinions, corporate valuations, and litigation relating to valuations.
Matthews has written several book chapters and articles on fairness opinions, corporate valuations, and litigation relating to valuations and appraisals. He is on the editorial boards of Business Valuation Review, published by the American Society of Appraisers, and Business Valuation Update, published by Business Valuation Resources, and was a member of the Fairness Opinions Working Group of the International Valuation Standards Council.
Registered with Sutter Securities, Inc. | LinkedIn
Bob Muh was a co-founder of Sutter Securities, Inc. From August 1984 to June 1987, Bob was a senior managing director in charge of the San Francisco region of Bear, Stearns & Co., Inc. Bob supervised the overall business development and operations of 200 professionals and staff. Bear Stearns’ activities in San Francisco included corporate finance, retail brokerage, institutional sales, fixed income sales, public finance and real estate in northern California and the Pacific Northwest.
Bob joined Bear Stearns in 1978 as head of the Los Angeles regional corporate finance department where he built the firm’s largest corporate finance office outside of New York. He initiated Bear Stearns bankruptcy and reorganization practice, providing advisory services to both debtors in possession and creditors’ committees. He became a general partner of Bear Stearns in 1982. Bob supervised numerous public offerings and merger assignments. In addition, he provided expert witness testimony and valuations for numerous public and private companies.
Bob was chairman of Newburger, Loeb & Co., Inc. a New York Stock Exchange member firm, from 1970-1972 and with McKinsey & Co., management consultants from 1966-1969.
Bob is a Life Trustee Emeritus of the Massachusetts Institute of Technology and Chairman-Emeritus of the Board of the Culinary Institute of America. He is a former chair of both The FINRA District Committee for District 1 and the FINRA Small Firm Advisory Board. From 2016 to 2019 he served on the FINRA Board of Governors. He has also served as a director of numerous public and private companies.
Bob has a bachelor’s degree from the Massachusetts Institute of Technology and both an MBA and a Master of Philosophy degree from Columbia University. While at Columbia, Bob was an Adjunct Assistant Professor of Finance. He is a former Adjunct Professor at the University of San Francisco Law School.
Bossuat has expertise across the full range of transactions including structuring, engagements and compliance.
Josh has completed the Executive MBA program at the UCLA Anderson School of Management, He is a Registered Investment Advisor with a background in Global Economics.
He has broad experience in risk mitigation, portfolio construction, investment selection, portfolio management and alternative investments (hedge funds and private equity).
He was registered with One America, Regional Manager MFS Northern California, and New York Life. Prior to joining Sutter Securities, Josh was a Managing Director with Security Research Associates.
Bossuat Graduated from the University of the Pacific with a degree in Global Economics and was born and raised in Lyon, France.
Registered with Sutter Securities, Inc. | LinkedIn
Carey is a senior executive in the financial services/fintech industry. He is an accomplished business builder having successfully developed and commercialized start-up products and services as well as re-energizing mature business models. He brings extensive experience in all phases of M&A, from upfront strategy to leading accretive, on-target integrations. His diverse functional leadership roles span front office, middle office and back office services to both buy side and sell side clients.
Carey served as the CEO of Convergex Execution Solutions, LLC, the flagship US broker dealer with global responsibilities that included securities sales and trading, clearing services and alternative trading platforms (ATS). Prior to joining Convergex, Carey was head of Prime Brokerage Services at Salomon Smith Barney, where he started and grew the business into a leading product line for the firm. Carey began his career at JP Morgan with leadership responsibilities in the firm’s securities services business including global custody. During his tenure with JP Morgan, Carey relocated to London where he ran the firm’s European business.
Recently, Carey launched an advisory practice, CSP Advisors, providing specialized strategic consulting services to private equity firms, broker dealers and emerging technology firms in the blockchain/distributed ledger arena. He is also a Managing Member of FMP Blockchain, LLC, a private venture fund that invests in emerging blockchain opportunities.
Carey received his MBA from Carnegie Mellon’s Tepper School in Pittsburgh, PA and his BA in Economics from Stony Brook University in Stony Brook, NY.
Registered with Sutter Securities, Inc. | LinkedIn
Robert has 25+ years’ experience in the financial services industry as principal running Investment Banking, Broker/Dealer and Registered Investment Advisor firm.
Registered with Sutter Securities, Inc. | LinkedIn
Daniel J. McClory joined Boustead Securities in 2016 as Managing Director and Head of Equity Capital Markets and now serves as Head of China. He is based in Boustead’s Irvine, California offices. He previously held the same positions at Bonwick Capital Partners, LLC, Burnham Securities Inc. and at Hunter Wise Financial Group, LLC over the past 12 years. His teams have ranked in the Top Ten of league tables for placement agents, won ‘Deal of the Year’ at the M&A Advisor Awards, and completed IPOs and transactions for clients listed on NASDAQ, the NYSE, the London Stock Exchange, Toronto Stock Exchange, the Stock Exchange of Hong Kong, and the Irish Stock Exchange.
Mr. McClory serves on the Boards of the USA Track & Field Foundation, the Eastern Michigan University Foundation, and the Gen Next Foundation, where he listed the first-ever foreign-funded, venture philanthropy-backed IPO on Bovespa’s Social Stock Exchange in Brazil. Mr. McClory earned a B.S. in English and a Masters in Language and International Trade from Eastern Michigan University, and in 2010 was awarded an honorary Doctor of Public Service degree from the school.
Holds FINRA Series 7, 66, 79 and 99 security licenses.
Keith Moore founded Boustead Securities (then called Monarch Bay), in 2006. Prior to Boustead, he founded numerous technology and service companies. Throughout his career Mr. Moore has served in various executive capacities from micro-cap to Russell 1000 companies, including Activision, Inc., and POPcast Communications Corp. Mr. Moore has raised over $100 million for these organizations and has grown collective revenues in excess of $600 million.
From 1996 through 2007, Mr. Moore served in Chief Executive and other executive capacities for POPcast Communications Corp. and iTechexpress, Inc., overseeing their respective strategic growth and capital raises. From 1991 through 1996, Mr. Moore served as President, Chief Operating Officer, Chief Financial Officer, Director and Consultant of Activision, Inc. (NASDAQ: ATVI), recognized as the international market leader in videogames. Mr. Moore was a founder of International Consumer Technologies Corp. and was Vice President, Chief Financial Officer and Director since its inception in July 1986 until its merger into Activision in December 1991.
Mr. Moore earned a B.S. in Accounting and a Masters in Finance from Eastern Michigan University.
Holds FINRA Series 7, 63, 24, 79 and 99 licenses.
Registered with Sutter Securities, Inc. | LinkedIn
Ms. Muh joined Sutter Securities in 2000 and has been the firm’s CFO since 2004. Berit was a consultant at McKinsey & Co., Inc. in New York for four years before taking time out to raise a family. Berit has devoted significant time to the non-profit world and is currently on the boards of directors of San Francisco Performances.
Ms. Muh has a BA in Mathematics from Brown University and an M.B.A. in Operations Research from Columbia University Graduate School of Business.
Registered with Sutter Securities, Inc. | LinkedIn
Brian Park co-founded FlashFunders, Inc., now known as Sutter Securities Group, Inc., in 2013. Mr. Park led the sale of the company and it’s subsidiaries to Boustead & Company Limited in 2017. Prior to that, Mr. Park worked at Europlay Capital Advisors, a Los Angeles based investment firm from 2008 through 2013. During his tenure, Mr. Park served as an advisor to various technology portfolio companies, including Skype, during its spinoff from eBay and subsequent sale to Microsoft. From 2006 through 2008, Mr. Park served as a Senior Associate at KPMG in its Structured Finance Group. Mr. Park earned a B.A. in Economics from the University of Virginia and holds FINRA Series 7 & 63 securities licenses.
Registered with Sutter Securities, Inc. | LinkedIn
John is an experienced legal and investment professional. Through his role as the head of operations at FinTech Clearing, LLC, a FINRA registered broker-dealer, he has extensive experience managing 15c2-4 separate accounts for the transmission and maintenance of payments for both private placement and registered securities offerings. John also oversees and manages all Trust activity.
Prior to FinTech Clearing, John worked in operations at Science, Inc., where he provided support to its portfolio companies from formation and corporation governance to bridge venture round financing. Prior to Science, John worked in Microsoft Corporation’s business practice group including: Merger & Acquisitions Corporate Governance, Domestic and International Tax, and Treasury. John earned a B.S in Molecular, Cellular, Developmental Biology from the University of Washington, and holds FINRA Series 7, 66 and 99 securities licenses.
Registered with Sutter Securities, Inc. | LinkedIn
CCO for Sutter Securities, Inc.
Alexis Wiedeman is a senior compliance officer with experience in investment advisory and broker dealer institutions with a focus on sub advisory due diligence, regulatory exam inquiries, regulatory change execution, third-party risk management, compliance testing, compliance training and review and execution of regulatory filings. Prior to joining CRC, Ms. Wiedeman held compliance positions with Lazard Asset Management, Investcorp, and Cohen & Steers. She holds the Series SIE, 7, 63 and 24 licenses.
Registered with Sutter Securities, Inc.
Robin Taliaferro joined Sutter Securities, Inc. in 2020 as Senior Director, Structured Tax Solutions within our Corporate Advisory Group.
Mr. Taliaferro specializes in the custom structuring of tax, risk and liquidity strategies for CEO’s, founders and other high net worth individuals who anticipate the sale of a highly appreciated asset.
Strategies include: Variable forwards, Tax-free exchange from overconcentrated stockholdings to diversified portfolios, 1031 Tax-free sale of highly appreciated property, tax strategies for Sale of a Business, Private Family Charitable Foundations, Multi-generation estate tax planning: Dynasty Trust, South Dakota.
Prior to joining Sutter, Mr. Taliaferro was founder and CEO of Corporate Officer Tax Strategies, LLC for more than 25 years. With offices in both San Jose and Solvang California, Corporate Officer Tax Strategies specializes in the customized structuring of tax, risk, and liquidity strategies for CEO’s, founders and other high net worth individuals in Silicon Valley.
Past corporate clients include: Xilinx, Inc., Adobe Systems, Orbit Semiconductor, Plantronics, and Trident Microsystems. In addition, during the past 8 years, Mr. Taliaferro has presented over 30 educational tax seminars in Palo Alto, Menlo Park and Cupertino California.
Mr. Taliaferro holds a Bachelor of Arts from Dickinson College in Carlisle, Pennsylvania. Mr. Taliaferro served as 1stLieutenant, Infantry, US Army Vietnam 1970-71.
He holds FINRA Series 1, 24, 63, 66 and SIE licenses.
Registered with Sutter Securities, Inc. | LinkedIn
Mark is an experienced executive in technology, product, and operations across various fields including finance, technology, blockchain, and education with a particular emphasis in cross-functional team building. He currently holds his Series 7, 24, and 63 licenses. He was most recently the Chief Technology Officer of The Crypto Company, where he built out their development teams as well as their crypto trading and research groups. He also supported legal and finance with their SEC filings and comment letters. Previously, as CTO of Crowdfunder, Inc. he led both the technology and the product teams for their SaaS offerings. He has an extensive hands-on technology background in startups to midsize companies, and also led due diligence teams as the FVP of Corporate Development for Opus Bank.
Registered with Sutter Securities, Inc. | LinkedIn
Scott is a former Financial Analyst specializing in operations and strategy. Scott came to Sutter from Internet Brands where he helped drive operational strategies to increase its legal lead business. Prior to his experience in the tech industry Scott worked as a Business Analyst for AvalonBay Communities, Inc. where he focused on portfolio performance and strategy for Southern California and the Pacific Northwest. Scott graduated from James Madison University in 2014 with a degree in Finance and a concentration in Financial Analysis.
Registered with Sutter Securities, Inc. | LinkedIn
Paul brings more than 26 years of experience in debt capital markets, asset management and international private banking. Prior to joining Sutter, From 2003-2017, he was a director at Signature Securities Group and Signature Bank, a broker dealer and SEC-registered RIA and NY based Bank. Paul joined Signature in 2003 and from 2006 through 2014, he served as director of investment management, creating and managing the platform AUM to over $300mm. Paul started Signature Bank’s Capital Markets Group and served as director of capital markets, addressing the bank’s corporate client needs in interest rate derivatives, foreign exchange, and cash management. Before Signature, he served in various capital markets and asset management positions at Bank Hapoalim, Brown Brothers Harriman, and Smith Barney. Paul holds an MBA with a concentration in Finance from New York University – Stern School of Business and a B.S. in Business Administration from Villanova University and holds FINRA Series 7, 24, 63 and 65 securities licenses.
Registered with Sutter Securities, Inc. | LinkedIn
Tom Friedberg joined Boustead Securities in 2007. Mr. Friedberg has more than 25 years experience at firms such as; Hambrecht and Quist (now JPMorganChase Capital Markets), Piper Jaffray, Tucker Anthony Sutro (now RBC Capital Markets), Janco Partners (a Telecommunications Investment Banking Boutique), and as a limited partner at Genesis Merchant Group Securities, where he advised numerous technology companies, automobile salvage processors, specialty finance companies, and telecommunications service providers (ILECs, wireless providers and new generation carriers).
He has also authored investment research on more than 50 companies in his career. Mr. Friedberg also served as Director of Strategic Financial Analysis and Investor Relations at US WEST NewVectorGroup, US WEST’s former publicly traded cellular and paging subsidiary (now part of Verizon Wireless) where he directed the financial aspects and analysis of all mergers and acquisitions undertaken by the Company. At NewVector, Mr. Friedberg spearheaded the efforts that resulted in US WEST having to increase its original buyout offer of the public minority shareholder interests by more than $50 million or 22%. NewVector is now an integral part of Verizon Wireless.
More recently, Mr. Friedberg served as a special strategic financial advisor to the Board of Managers of Midwest Wireless Holdings, LLC resulting in its acquisition by Alltel in October 2006 for nearly $1.1 billion. From 1999 to 2007, Mr. Friedberg served on the Governor’s Commission for Science and Technology of the State of Colorado.
Mr. Friedberg also has served on the Board of Directors of five public companies.
Mr. Friedberg earned both a B.A. and B.S. degree from Stanford University and a MBA from the Wharton School of the University of Pennsylvania.
Holds FINRA Series 4, 7, 9, 24, 63, 65, 79, 86 and 87 licenses.
Registered with Sutter Securities, Inc. | LinkedIn
Michael is a former Project Director at Hawkins Way Capital. In addition, Michael was also previously a Principal at Strome Partners, an investment firm, located in Santa Monica, California, where he served on the Executive Committee and directed the marketing and client services efforts with AUM in excess of one billion dollars.
Michael began his career in trading at Kayne Anderson, and was a partner of Trinity River Advisors, Inc., an investor in and advisor of distressed companies. Additionally, he has advised numerous companies on asset gathering, Wall Street research, branding, marketing and strategy. He is an expert in the area of public affairs, public and investor relations dating back to his training at the Defense Information School.
Michael’s industry contacts and business relationships have allowed him to acquire and maintain access within both the investment management field and the technology industry, including experts in computer engineering and computer science as well as capital introduction, trading and fund administration. Michael is a graduate of the Defense Information School for Public Affairs and a US Army veteran.
Registered with Sutter Securities, Inc. | LinkedIn
Charles Dunn has been a management consultant, investment banker and company manager. He was a consultant with McKinsey & Company in New York, Paris, Amsterdam & Lisbon. Later, he was an independent management consultant in Portugal, Angola & Senegal. He was the director of investments for a wealthy Saudi Arabian businessman, and managed the construction of a hospital in Saudi Arabia. He lived for more than 20 years in Europe, the Middle East and Africa. In San Francisco, he managed a private equity fund of a wealthy Japanese family and was the CEO of IntegriSoft, Inc., a Silicon Valley software company.
In the not-for-profit area, Dunn was the CEO of the Napa Valley Opera House. He has been CEO at two small Bay Area broker-dealer firms and later CFO at Sutter Securities. Recently he returned to Sutter Securities as a Senior Managing Director to assist in various financing and operations projects. Dunn is registered with FINRA as both a General Securities Principal (Series 24) and Financial and Operations Principal (Series 27). Dunn graduated from Oregon State University, holds an MBA from the University of California (Berkeley) and a doctorate in economics from the University of Paris (Sorbonne). He is fluent in French and has a working knowledge of Spanish & Portuguese.
Registered with Sutter Securities, Inc. | LinkedIn
Mr. Ansari is the Managing Director and Head of Blockchain Investment Banking at Boustead Securities, LLC (a FINRA member and SEC Registered Broker Dealer) advising companies on strategizing and executing regulated offerings, including Digital Assets and Security Token Offerings.
Mr. Ansari is also a Founding Managing Partner & Chief Compliance Officer at Boustead Capital Partners, an emerging California based Registered Investment Advisor. Mr. Ansari is the co-founder of brX Exchange, a startup seeking to be a regulated security token exchange.
Previously, in his role as the Chief Investment Officer at Miven Family Office, Mr. Ansari helped build and manage a diversified global investment portfolio. Mr. Ansari was also the founding CEO and CIO of Corporate Metrix, a diversified multifamily office investment firm, where he led the global client investment management and practice development, including investments in leading Venture Capital and Private Equity funds including KPCB, Greylock, Sequoia, Accel, Foundation, Silver Lake Partners, Elevation Capital, Affinity Capital and IDG.
Previously, Mr. Ansari was a Venture Partner at Skyline/Irvine Ventures, an early stage VC firm. Private investments made by Skyline/Irvine: ProofPoint (Nasdaq: PFPT), A10 Networks (Nasdaq: ATEN), NextCard (previous Nasdaq: NXCD), Tzero (acquired by MicroChip), ZeroG (acquired by NDS Surgical), Vivasoft (acquired by Yahoo!), Mobile Automation (acquired by iPass).
Mr. Ansari holds FINRA Series 7, 24, 63 and 65 licenses registered through Boustead Securities, LLC and Boustead Capital Partners, LLC. Mr. Ansari is also a Certified Public Accountant licensed to practice in California as well as Life & Health Insurance and Real Estate Salesperson licenses.
Registered with Sutter Securities, Inc. | LinkedIn
Registered with Sutter Securities, Inc.
Registered with Sutter Securities, Inc.
Registered with Sutter Securities, Inc.
Registered with Sutter Securities, Inc.
Aelion joined Sutter Securities Incorporated in 2015 and became the firm’s CCO in 2016. Sally was an Executive Vice President and served on the Board of Directors at Emmett A. Larkin Company, Inc. for over 20 years. She served as a Member of the Board of Managers for ACN Partners, L.P. from 2004 — 2011.
Sally was a former chair of the FINRA District Committee (formerly known as the District Business Conduct Committee) for District 1 (Northern California, Northern Nevada and Hawaii). She has also served on various industry committees including: the FINRA Continuing Education Committee, FINRA E-Brokerage Committee, FINRA Advisory Committee, SIFMA Clearing Firms Committee and SIFMA Independent Firms Committee.
Sally is a current member of the FINRA West Region Committee and FINRA Dispute Resolution, Board of Arbitrators. She has a BA in Legal Studies from the University of California, Berkeley.
Registered with Sutter Securities, Inc. and Sutter Securities Clearing, LLC. | LinkedIn
Monique brings over 25 years of People Leadership and Consulting experience lending her Human Resources expertise across multiple industries of various sizes and at varying stages of growth. She has spent most of her career working with dynamic high-tech and service companies in both private and publicly traded sectors. She has also served in senior leadership and advisory roles for public agencies and non-profit organizations.
Monique is an expert at helping companies and teams calmly navigate operational complexities and changes that occur during day-to-day operations and within any phase of the business life cycle, whether it’s start-up, expansion, turn around, or merger and acquisition. Partnering with the companies she serves, Monique utilizes a consultative approach to understand objectives and develop creative solutions to address business and human capital needs.
As a leader in talent acquisition and workforce management, Monique translates vision and strategies into actionable, value-added results that improve operational effectiveness and drive profitability.
Austin King is a Managing Director at Boustead Securities, LLC where he provides deal-support on M&A, equity, and debt investments. Mr. King brings corporate finance experience to client engagements across many sectors. For example, he has assisted entrepreneurs, investors and shareholders by facilitating growth, increasing shareholder value, and creating liquidity through recapitalizations, and debt and equity financings.
Prior to joining Boustead, Mr. King advised numerous start-ups in southern California and served as an investment banker at WestPark Capital.
Austin is also active in Newport Beach’s investment community where he founded Newport Beach Investment Events, a private institutional investment networking association.
Mr. King completed his master’s degree in Applied Economics from the Mihaylo College of Business and Economics, Cal State Fullerton, and earned a B.A. in Economics from San Diego State University with honors and distinction in economics.
Holds FINRA 7,63, 65 and 79 licenses.
Registered with Sutter Securities, Inc. | LinkedIn
Paul C. Lillios began his career in the legal profession with a prestigious appointment as a law clerk to a federal judge. Following completion of his one-year clerkship, he received an appointment as an Assistant United States Attorney, where he represented the United States and numerous federal agencies in both criminal and civil cases.
In 1994, Paul was appointed as a United States Administrative Law Judge. Serving on the bench for over twenty years, Paul’s final position was as the Associate Chief Administrative Law Judge of the United States Social Security Administration. In that position, Paul helped manage and supervise the nationwide administrative adjudicative hearings process staffed by nearly 1,600 federal administrative law judges and several thousand attorneys and employees across the country. As the Associate Chief Judge, Paul’s executive duties also included direction of disciplinary investigations, adjudication of attorney and representative ethics and professional misconduct cases, oversight of internal investigations and provision of advice and counsel on a wide range of ethics and compliance issues.
During his final year as a Judge, Paul partially stepped away from his judicial duties to serve as senior advisor on Disability Fraud in the Social Security Administration’s Office of the Inspector General. In that capacity, Paul created a pilot project establishing a special investigations unit comprised of federal law enforcement agents, auditors and intelligence analysts. This new unit, as supported by Congressional action, has now been expanded and made operational across the United States, with its mission to investigate and prosecute offenders related to organized fraud in the federal disability insurance programs.
Following his retirement from the bench, Paul first returned to the practice of law as a partner of a national law firm and as of counsel to another, where he counseled corporate executives and board directors in complex business, ethics and compliance matters, conducted internal and EEO investigations and presided over commercial arbitration hearings. Paul now brings his substantial public sector executive experience and his program integrity, ethics and compliance background to Sutter, where he primarily works with investors, companies and local governments in providing oversight and monitoring of projects and investments associated with the federal government’s EB-5 foreign investment program, opportunity zones investments and other related endeavors. Paul maintains his law licenses in Illinois and Iowa and previously obtained professional designation as a certified ethics and compliance professional.
Michael Jacks is Head of Private Equity with responsibility for all private capital raising transactions. Mr. Jacks has been working in capital markets and investment banking for the past twenty years. He has been responsible for the origination, evaluation, structuring and execution of over ninety transactions, aggregating in excess of $1,000,000,000 for micro, small and midcap growth companies. Mr. Jacks has extensive long standing relationships with Hedge Fund, Mutual Fund, Venture Capital and Private Equity communities. He has value-added relationships with niche legal and accounting firms. Mr. Jacks has often been quoted in the PIPES Report on industry issues. He was a guest panelist at the 2004 PIPES Conference speaking on how changing Wall Street has influenced customary practices. He was a guest speaker at the 2006 PIPES Conference on the state of the market and the latest trends in PIPES. Mr. Jacks has sell side experience with Paine Webber, Kidder Peabody, and Bear Stearns. He was co-head of Investment Banking at the Shemano Group, a very successful private placement boutique.
Mr. Jacks graduated from Indiana University with a B.S. in Biological Sciences. He earned an M.B.A. from Butler University.
Registered with Sutter Securities, Inc.
Board of Directors
Mr. Mark Eugene Strome is the Founder of Strome Investment Management, L.P. and serves as its Chief Investment Officer and Chairman. Mr. Strome serves as an Advisory Partner of Hawkins Way Capital, LLC. He founded Strome Investment Management and Strome Securities L.P. in 1992. Mr. Strome is the founder and primary stockholder of a securities brokerage company and investment management company and is responsible for raising and managing $1.8 billion in private placement hedge fund investments focusing on non-traditional investments including commodities, currencies, bankruptcy reorganizations and venture capital and private equity investments. Prior to Strome Investment Management, he was a Portfolio Manager at Kayne Anderson. He founded Adesso Solutions, LLC. He serves as a Director at Endurance Ventures, National Water and Power, Eco-Duro Corporation, NWP Services Corporation and Mobil Satellite Ventures. He serves as Member of Advisory Board at Global Analytics, Inc. He is a Trustee for New Roads School and Big Bear Foundation and serves on the Board of Advisors of John Hopkins Medical Center. Mr. Strome is a frequent guest at investment speaking forums and has featured in number publications including the Wall Street Journal, Barrons, Forbes and others. He was the honorary Doctor of Science in 1998 from Old Dominion University. Mr. Strome holds an M.S. in Economics in 1980 from the University of California at Berkeley and a B.S. in Engineering from Old Dominion University in 1978.
Brian has over 40 years of experience in the investment community. He has been active in raising more than $150 million for small, public and private companies in the technology and bio-technology industries. Brian has developed extensive experience in research, trading and sales to compliment his investment banking activities.
Brian began his career in the financial community as a technology analyst for a regional brokerage firm in San Francisco in 1968. Since then he extended his research activities into trading and institutional sales and became Research Director at Henry F. Swift & Co. in 1976. He developed additional experience in the sales, investment banking and trading environment while performing research activities for Bateman, Eichler, kill, Richards between •1 979 and 1982 and then returned to Henry F. Swift & Co. as its Director of Corporate Finance. While co-managing several offerings, Brian initiated relationships with the institutional investment community and began to develop a following in the small cap, micro-cap investment arena. Finding that market making was essential to grow a business with institutional investors, Brian joined Security Research Associates, Inc. in 1989.
Registered with Sutter Securities, Inc. | LinkedIn
Anders Arendt De Jounge joined Sutter Securities in March 2016. Anders has over 23 years of experience having been a broker and/or investment advisor with Security Research Associates, Wells Fargo Investments and Paine Webber.
Anders is a native of Gothenburg Sweden.
Registered with Sutter Securities, Inc. | LinkedIn
Ron brings the demonstrated ability and instinct to identify, assess and lead attractive investment opportunities in numerous niche software and information services markets. Ron’s experience include various leadership, board and investor roles in operating and investment businesses including NWP Services Corporation, Seneca Partners, Adesso Solution, Compendia Bio, Endeavor Capital Management, Harbinger Corporation, Emerald Intelligence, Online Technologies, Operon Partners, 7th Online and the Marathon Fund.
Additionally, Ron was the Chairman of the Michigan Venture Capital Association and the Eastern Michigan University Foundation. Reed holds Engineering-Physics and Math degrees from Eastern Michigan University.