GEHMAN CAPITAL SOLUTIONS, LTD.

Size: px
Start display at page:

Download "GEHMAN CAPITAL SOLUTIONS, LTD."

Transcription

1 GERALD P. GEHMAN 25 EAST 93 rd STREET (212) Gehman Capital Solutions, Ltd New York Home (860) Connecticut Cottage GEHMAN CAPITAL SOLUTIONS, LTD. OWNER Sept. 28, 2005 to Present Gehman Capital Solutions, Ltd. was formed to provide investment advice to individuals and corporations. Gerald Gehman manages 1MM+ of his personal investments. See: to see performance Series 7 status (Registered Representative) - not currently registered Series 65 (Uniform Investment Advisor Law Exam) Passed Covestor.com: Gerald Gehman manages a portfolio on Covester.com where investors can open a brokerage account and mirror the portfolio s transactions. Aleutain Capital Partners, LLC. Gerald Gehman works with Aleutian Capital to source new customers for them in mergers and acquisitions, in traditional investment banking services and in private equity investments. MARQUETTE DeBARY & CO. Broker Dealer May 2007 to Dec.31, 2009 Registered as a Series 7 Broker/Dealer. Carolina Capital Markets, LLC Chapel Hill, North Carolina Independent Broker/Dealer 2005 to 2007 Registered with Carolina Capital Markets, LLC, Chapel Hill, NC as an independent broker/dealer. Carolina Capital is an independent, non-positioning, fixed income broker/dealer operating since FIRST ALBANY CAPITAL Vice President Fixed Income Sales April, 2001 to June, 2005 Worked with Corporations to promote their re-purchase of Fixed Income Securities until December, The corporate bond market volume steadily declined. The Corporate Bond Department was eventually disbanded.

2 LAZARD FRERES & CO. LLC Vice President - Fixed Income Sales 1989 to 2001 The high grade Corporate Bond Department at Lazard Freres & Co. was one of the most profitable boutiques in Wall Street. In 2000, my accounts generated profits of $1,500,000. In 1999, my accounts generated profits of over $5,000,000. In 1997 I created and placed a 50MM TTX, Inc. (formerly Trailer Train, Inc.) Equipment Trust Certificate with one of my international accounts. Wertheim Schroder & Co. Inc Vice President - Fixed Income Department 1987 to 1989 I sold fixed income securities and created a department to call corporations and develop a sinking fund trading department. PAINE WEBBER INC. Vice President - Fixed Income Sales 1980 to 1986 In 1980, Paine Webber absorbed Blyth Eastman Dillon Inc. Honored as one of the firm s leading salesmen in One of the firm s top producers from 1980 to My largest producing accounts were J.P. Morgan, Metropolitan Life, and Capital Holding. Vice President, Fixed Income 1975 to 1979 Blyth Eastman Dillon, Inc. In 1975, Blyth Eastman Dillon recruited me to re-build their Corporate Bond Department. My partner and I converted a retail structured Corporate Bond Department to an institutional structured bond department. We successfully underwrote a number of bond offerings, the largest of which were for The Standard Oil of California and Beneficial Finance. We recorded a Net Profit every year from 1975 until 1978, when I returned to Corporate Bond Sales. In 1979, the firm was sold to Paine Webber I was asked, and agreed to join Paine Webber.

3 THE FIRST BOSTON CORPORATION Vice President - Fixed Income 1964 to 1975 From 1965 to 1968, I grew from a novice institutional salesman covering accounts in Canada to a senior salesman covering the largest accounts in Canada and the United States. In 1969, I joined the Corporate Bond Trading Desk where I helped established First Boston Corporation as a leader in secondary market trading of corporate bonds. In 1973, First Boston asked me to create a quantitative research department to help analyze bonds, monitor swaps, track portfolios, and increase transactions. In 1975, I managed the Corporate Bond Trading Desk. PERSONAL EDUCATION: 1963 M.B.A. The Graduate School of Business The University of Chicago 1961 B.A. The University of Chicago Born: July 24, 1939 Married, 1969 Nancy LeBel Gehman 5 10 : 172 lbs. ACTIVITIES: Competitive Squash: N. Y. State 50+ Singles Champion Ranked 7 th In U.S. in 50+ Age University Club Runner Up University Club: Member: Squash Committee Secretary: Admissions Committee Council Member 1998 to 2001 Nominating Committee: Council Officers, Year 2000 Chairman: Bridge Committee 2010 Lynde Point Land Trust: (Old Saybrook, Ct) Treasurer: 2009 to CLUBS: The Drama League - N.Y. The University Club - N.Y. Black Hall Club (Golf) - Old Lyme, Ct. The Old Lyme Country Club - Old Lyme, Ct.

4 Holland Lodge Masonic Lodge, N.Y.

5

The Peachtree Group at Morgan Stanley

The Peachtree Group at Morgan Stanley The Peachtree Group at Morgan Stanley 3280 PEACHTREE RD NE SUITE 1900 ATLANTA, GA 30305 404-266-6390 / MAIN 877-386-5767 / TOLL-FREE 404-601-5471 / FAX http://fa.smithbarney.com/thepeachtreegroupsb/ index.htm

More information

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement Form ADV Part 2B Brochure Supplement March 17, 2016 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,

More information

BROCHURE SUPPLEMENTS (ADV PART 2)

BROCHURE SUPPLEMENTS (ADV PART 2) BROCHURE SUPPLEMENTS 2015332 1 BROCHURE SUPPLEMENT BRADFORD A. EVANS This brochure supplement provides information about Bradford A. Evans that supplements the Heartland Advisors, Inc. Brochure (ADV Part

More information

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement Form ADV Part 2B Brochure Supplement May 12, 2015 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,

More information

2. Placement Agent Information:

2. Placement Agent Information: 2. Placement Agent Information: (a) (b) The name of the Placement Agent is: The name of the Placement Agent is: Private Fund Group of Credit Suisse Securities (USA) LLC ( CS or the Placement Agent ). Attached

More information

Harvestons Securities, Inc.

Harvestons Securities, Inc. RELATIONSHIPS ARE EVERYTHING Whether it is business, family, friends or neighbors, relationships are built one step at a time through mutual respect, trust, commitment and understanding. Some relationships

More information

Redemption of Shares Class A Sales Charge Waivers beginning on page 37 of the Fund s Statement of Additional Information.

Redemption of Shares Class A Sales Charge Waivers beginning on page 37 of the Fund s Statement of Additional Information. USA Mutuals Takeover Targets Fund Trading Symbols: Institutional Class Shares (TOTIX) Investor Class Shares (TOTNX) Class A Shares (TOTAX) Class C Shares (TOTCX) Summary Prospectus July 29, 2015 Before

More information

Value-Added Financial Solutions for Growing Health Care Companies Specializing in the Following Sectors:

Value-Added Financial Solutions for Growing Health Care Companies Specializing in the Following Sectors: Long-Term Creative Health Capital is a merchant bank focusing exclusively on the health care industry. Our mission is to advise and partner with health care provider, health care facility and health care

More information

University of Oxford MSc Financial Economics 2014/15

University of Oxford MSc Financial Economics 2014/15 University of Oxford MSc Financial Economics 2014/15 Do you want a career in investment banking, asset management, or financial markets? Or as a financial economist in consultancy, regulation, law, or

More information

Walter A. Kapuscinski

Walter A. Kapuscinski Walter A. Kapuscinski Accomplishment and Employment Biography PART ONE: SECURITIES INDUSTRY ADVISORY AND CONSULTING EXPERIENCE Over forty years of progressive administrative, compliance, options, trading

More information

INTERACTIVE BROKERS LLC (SEC I.D. No. 8-47257)

INTERACTIVE BROKERS LLC (SEC I.D. No. 8-47257) INTERACTIVE BROKERS LLC (SEC I.D. No. 8-47257) STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2003 AND INDEPENDENT AUDITORS REPORT AND SUPPLEMENTAL REPORT ON INTERNAL CONTROL ******* Filed pursuant

More information

PRUCO LIFE INSURANCE COMPANY PRUCO LIFE FLEXIBLE PREMIUM VARIABLE ANNUITY ACCOUNT

PRUCO LIFE INSURANCE COMPANY PRUCO LIFE FLEXIBLE PREMIUM VARIABLE ANNUITY ACCOUNT GENPRODSUP6 PRUCO LIFE INSURANCE COMPANY PRUCO LIFE FLEXIBLE PREMIUM VARIABLE ANNUITY ACCOUNT PRUCO LIFE INSURANCE COMPANY OF NEW JERSEY PRUCO LIFE OF NEW JERSEY FLEXIBLE PREMIUM VARIABLE ANNUITY ACCOUNT

More information

MAINSTAY VP FUNDS TRUST MAINSTAY VP INCOME BUILDER PORTFOLIO MAINSTAY VP U.S. SMALL CAP PORTFOLIO

MAINSTAY VP FUNDS TRUST MAINSTAY VP INCOME BUILDER PORTFOLIO MAINSTAY VP U.S. SMALL CAP PORTFOLIO May 1, 2013 MAINSTAY VP FUNDS TRUST MAINSTAY VP INCOME BUILDER PORTFOLIO MAINSTAY VP U.S. SMALL CAP PORTFOLIO (collectively Portfolios ) 51 Madison Avenue New York, New York 10010 To Our Policy Owners:

More information

Araceli M. Sibley 21 Years Experience Western Asset Management Company Research Analyst, 1992 Cal Poly Pomona, B.Sc.

Araceli M. Sibley 21 Years Experience Western Asset Management Company Research Analyst, 1992 Cal Poly Pomona, B.Sc. Bank Loan Team Brendan Bowman 9 Years Experience Western Asset Management Company Client Service Analyst, 2005 Robert Half International Staff Accountant, 2004 2005 University of California, Riverside,

More information

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement Form ADV Part 2B Brochure Supplement May 19, 2014 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,

More information

OUR SPONSORS. South Florida Hedge Funds 2011 Industry Outlook. The Miami Finance Forum. Presents A Panel Discussion on.

OUR SPONSORS. South Florida Hedge Funds 2011 Industry Outlook. The Miami Finance Forum. Presents A Panel Discussion on. OUR SPONSORS The Miami Finance Forum Presents A Panel Discussion on South Florida Hedge Funds 2011 Industry Outlook Our Panelists: About the Miami Finance Forum The Miami Finance Forum is a non-for-profit

More information

Formed and currently chair the Advisory Board for the Program on Financial Mathematics at the University of Chicago.

Formed and currently chair the Advisory Board for the Program on Financial Mathematics at the University of Chicago. Robert J. Frey, Ph.D. Office: (631) 473-6314 Harbor Financial Management, LLC Fax: (631) 473-6317 314 Main Street Mobile: (631) 513-3690 Port Jefferson, NY 11777 Email: frey@ams.sunysb.edu Career Summary

More information

FINANCIAL SERVICES TEAM

FINANCIAL SERVICES TEAM FINANCIAL SERVICES TEAM William Spiegel Managing Director, Head of Financial Services Mr. Spiegel is a founding partner and a managing director responsible for managing Pine Brook s financial services

More information

Go Independent. The advantages of working with an independent advisor

Go Independent. The advantages of working with an independent advisor Go Independent. The advantages of working with an independent advisor Your financial future is impacted by decisions you make today. Whom you work with to help plan that future may be the most important

More information

Principal Investing - The Inner Workings of a Private Equity Firm

Principal Investing - The Inner Workings of a Private Equity Firm Principal Investing - The Inner Workings of a Private Equity Firm 2 Wachovia Capital Partners Agenda Introduction to the Speaker An Overview of Wachovia and its Principal Investing Unit Investing Capital

More information

JOINT SEC/NASD/NYSE REPORT OF EXAMINATIONS OF BROKER-DEALERS REGARDING DISCOUNTS ON FRONT-END SALES CHARGES ON MUTUAL FUNDS

JOINT SEC/NASD/NYSE REPORT OF EXAMINATIONS OF BROKER-DEALERS REGARDING DISCOUNTS ON FRONT-END SALES CHARGES ON MUTUAL FUNDS JOINT SEC/NASD/NYSE REPORT OF EXAMINATIONS OF BROKER-DEALERS REGARDING DISCOUNTS ON FRONT-END SALES CHARGES ON MUTUAL FUNDS New York Stock Exchange, Inc. Office of Compliance Inspections and Examinations

More information

FOCUSED ON YOUR INVESTMENTS YOUR FUTURE YOU

FOCUSED ON YOUR INVESTMENTS YOUR FUTURE YOU FOCUSED ON YOUR INVESTMENTS YOUR FUTURE YOU Table of Contents Harrington Capital Management, LLC is a branch office of and Securities offered through WFG Investments, Inc., member FINRA & SIPC. Investment

More information

GARY A. KLEIN. Experience The Klein Law Group, Boca Raton, Florida February 2012-Present

GARY A. KLEIN. Experience The Klein Law Group, Boca Raton, Florida February 2012-Present GARY A. KLEIN TEL. (561) 704-5897 gkleinlaw@yahoo.com ------------------------------------------------------------------------------ Experience The Klein Law Group, Boca Raton, Florida February 2012-Present

More information

UNIONBANC INVESTMENT SERVICES P.O. BOX 513100 LOS ANGELES, CA 90051-1100. SEC Rule 11Ac1-6, Quarterly Report for the Quarter Ending September 30, 2005

UNIONBANC INVESTMENT SERVICES P.O. BOX 513100 LOS ANGELES, CA 90051-1100. SEC Rule 11Ac1-6, Quarterly Report for the Quarter Ending September 30, 2005 Note: Broker-dealers are required to disclose any material arrangements with the venues listed in each section below, including, but not limited to, any internalization or payment for order flow arrangements.

More information

IRC 2015 REPORT TO UNITHOLDERS CIBC MUTUAL FUNDS CIBC FAMILY OF MANAGED PORTFOLIOS IMPERIAL POOLS. Dear Unitholder:

IRC 2015 REPORT TO UNITHOLDERS CIBC MUTUAL FUNDS CIBC FAMILY OF MANAGED PORTFOLIOS IMPERIAL POOLS. Dear Unitholder: Dear Unitholder: I am writing on behalf of the Independent Review Committee (the IRC ) of the funds managed by Canadian Imperial Bank of Commerce ( CIBC ) and CIBC Asset Management Inc. ( CAMI ), which

More information

Wealth Planning y Investment Management y Insurance for Family and Business. Serving Main Street with Independent Advice

Wealth Planning y Investment Management y Insurance for Family and Business. Serving Main Street with Independent Advice True Independence Wealth Planning y Investment Management y Insurance for Family and Business Serving Main Street with Independent Advice Wealth Planning y Investment Management y Insurance for Family

More information

Module Description. Master Programme. International Business and Finance (M.A.)

Module Description. Master Programme. International Business and Finance (M.A.) Fakultät für Wirtschaft Module Description Master Programme International Business and Finance (M.A.) (Version: 2014-10-01) Introduction: The official requirements for the degree program 'International

More information

Silver Pine Capital, LLC

Silver Pine Capital, LLC Silver Pine Capital, LLC Bull markets are born on pessimism, grow on skepticism, mature on optimism, and die on euphoria. The time of maximum pessimism is the best time to buy, and the time of maximum

More information

Edward W. Hutton, CFA

Edward W. Hutton, CFA Edward W. Hutton, CFA Assistant Professor Department of Commerce Phone: 716-286-8208 Niagara University E-mail: ehutton@niagara.edu EDUCATION Master of Science (M.S.), Financial Economics State University

More information

RCS Capital to acquire J.P. Turner & Company L.L.C. and J.P. Turner & Company Capital Management, LLC. January 17, 2014

RCS Capital to acquire J.P. Turner & Company L.L.C. and J.P. Turner & Company Capital Management, LLC. January 17, 2014 RCS Capital to acquire J.P. Turner & Company L.L.C. and J.P. Turner & Company Capital Management, LLC January 17, 2014 1 Cautionary Note Regarding Forward-Looking Statements Information set forth herein

More information

Mutual. Fund Families. Premier Program. Premier Program Team. Mutual Funds. Companies. Asset Classes. & Subadvisers

Mutual. Fund Families. Premier Program. Premier Program Team. Mutual Funds. Companies. Asset Classes. & Subadvisers Premier Program Mutual Fund Families Your Adviser Premier Program Team Investment Committee Research & Strategy Operations & Support The Foresters Advisory Services, LLC ( FAS ) Premier Mutual Fund Advisory

More information

SOURCING FINANCIAL SOLUTIONS FOR CAPITAL INVESTMENTS

SOURCING FINANCIAL SOLUTIONS FOR CAPITAL INVESTMENTS SOURCING FINANCIAL SOLUTIONS FOR CAPITAL INVESTMENTS OUR ADVICE AND EXPERTISE CAN YIELD EXCEPTIONAL RESULTS OVER TIME Sourcing financial solutions for the investment success of each and every one of our

More information

Form ADV Part 2B Brochure Oxbow Advisors, LLC

Form ADV Part 2B Brochure Oxbow Advisors, LLC Form ADV Part 2B Brochure Oxbow Advisors, LLC Main Office 800 N. Shoreline Blvd Ste 2200 Corpus Christi, Texas 78401 361-692-1296 June 2, 2014 Supervised Persons: James Bain, Erik Cohen, Thomas Crain,

More information

Managed Account Disclosure Statement

Managed Account Disclosure Statement Managed Account Disclosure Statement This brochure provides clients with information about Romano Wealth Management and the Managed Account Program that should be considered before becoming a client of

More information

EXECUTIVE M BA P ROGRAM

EXECUTIVE M BA P ROGRAM EXECUTIVE M BA P ROGRAM At the SMU Cox Executive MBA program, we have been focused on quality in our students, faculty, staff, curriculum and relationships since 1976. The Cox Executive MBA program is

More information

The Samuelson Company LLC 210 Interstate North Parkway, Suite 150 Atlanta, Georgia 30339

The Samuelson Company LLC 210 Interstate North Parkway, Suite 150 Atlanta, Georgia 30339 Larry R. Samuelson The Samuelson Company LLC 210 Interstate North Parkway, Suite 150 Atlanta, Georgia 30339 Profile LARRY R. SAMUELSON Executive Coach and Trusted Advisor Mid-Market Business and Leadership

More information

This brochure has not been approved by the Securities and Exchange Commission (SEC), nor any state securities authority.

This brochure has not been approved by the Securities and Exchange Commission (SEC), nor any state securities authority. The Program Works, Inc. (dba TPW Financial, Inc.) 450 Lexington Street, Suite 203 Newton, MA 02466 Contact: Chitra R. Staley, CEO&CIO 617-614-9889 cstaley@tpwfinancial.com www.tpwfinancial.com Date of

More information

1 Regional Bank Regional banks specialize in consumer and commercial products within one region of a country, such as a state or within a group of states. A regional bank is smaller than a bank that operates

More information

2015 Real Estate Industry Update A landscape for change: Transforming for the future

2015 Real Estate Industry Update A landscape for change: Transforming for the future 2015 Real Estate Industry Update A landscape for change: Transforming for the future December 16, 2015 Welcome Welcome to Deloitte s 2015 real estate industry update The real estate industry has been on

More information

Putnam Convertible Securities Fund

Putnam Convertible Securities Fund FUND SYMBOLS CLASS A CLASS B CLASS C CLASS M CLASS R CLASS Y PCONX PCNBX PRCCX PCNMX PCVRX PCGYX Putnam Convertible Securities Fund Summary prospectus 2 28 15 Putnam Convertible Securities Fund Before

More information

News Release INVESTOR AND MEDIA CONTACT: George R. Kirkland Senior Vice President and Treasurer Phone: (229) 873-3830 gkirkland@sgfc.

News Release INVESTOR AND MEDIA CONTACT: George R. Kirkland Senior Vice President and Treasurer Phone: (229) 873-3830 gkirkland@sgfc. Southwest Georgia Financial Corporation 201 First Street S.E. Moultrie, GA 31768 PH: (229) 985-1120 FX: (229) 985-0251 News Release INVESTOR AND MEDIA CONTACT: George R. Kirkland Senior Vice President

More information

DILUTED EPS $0.67, UP 26% FROM $0.53

DILUTED EPS $0.67, UP 26% FROM $0.53 FOR IMMEDIATE RELEASE CITIGROUP THIRD QUARTER CORE INCOME RISES 27% TO $3.1 BILLION First Nine Months Core Income up 32% to a Record $9.7 Billion Revenues up 15% to $16.8 Billion from $14.6 Billion DILUTED

More information

Investment Fund Managers

Investment Fund Managers Investment Fund Managers as at July 7, 2015 AllianceBernstein Canada, AQR Capital Management LLC Beutel, Goodman & Company Ltd. Headquartered in New York, New York, AllianceBernstein has close to $550

More information

IndexIQ. Smart solutions for better portfolios. by MainStay Investments

IndexIQ. Smart solutions for better portfolios. by MainStay Investments IndexIQ Smart solutions for better portfolios by MainStay Investments An Innovative Marriage of ETFs and Alternative Investments In recent years, exchange-traded funds (ETFs) have steadily grown in popularity.

More information

Purpose of Selling Stocks Short JANUARY 2007 NUMBER 5

Purpose of Selling Stocks Short JANUARY 2007 NUMBER 5 An Overview of Short Stock Selling An effective short stock selling strategy provides an important hedge to a long portfolio and allows hedge fund managers to reduce sector and portfolio beta. Short selling

More information

AGENDA. 17.00 17.15 Registration and welcome Drink 17.15 17.30 ishares Switzerland and the future of the Swiss Platform for investors

AGENDA. 17.00 17.15 Registration and welcome Drink 17.15 17.30 ishares Switzerland and the future of the Swiss Platform for investors Swiss ETF Event Zurich, 22 October 2014 AGENDA 17.00 17.15 Registration and welcome Drink 17.15 17.30 ishares Switzerland and the future of the Swiss Platform for investors Sven Württemberger Director,

More information

INTERACTIVE BROKERS LLC A Member of the Interactive Brokers Group

INTERACTIVE BROKERS LLC A Member of the Interactive Brokers Group David M. Battan Executive Vice President and General Counsel INTERACTIVE BROKERS LLC A Member of the Interactive Brokers Group 1725 EYE STREET, N.W. SUITE 300 WASHINGTON, DC 20006 TEL (202) 530-3205 July

More information

MERGER PROPOSAL YOUR VOTE IS VERY IMPORTANT August 28, 2015

MERGER PROPOSAL YOUR VOTE IS VERY IMPORTANT August 28, 2015 MERGER PROPOSAL YOUR VOTE IS VERY IMPORTANT August 28, 2015 Dear Aetna Inc. Shareholders and Humana Inc. Stockholders: On behalf of the boards of directors of Aetna and Humana, we are pleased to enclose

More information

The Investment Committee of Envestnet (titled the PMC Investment Committee) consists of seven members:

The Investment Committee of Envestnet (titled the PMC Investment Committee) consists of seven members: Investment Committee of Envestnet Asset Management, Inc. 35 East Wacker Drive, Suite 2400 Chicago, IL 60601 312 827 2800 www.envestnet.com March 31, 2014 This Brochure Supplement provides information about

More information

Kuwait University College of Business Administration Center of Excellence in Management. Chartered Financial Analyst Programs (CFA )

Kuwait University College of Business Administration Center of Excellence in Management. Chartered Financial Analyst Programs (CFA ) Kuwait University College of Business Administration Center of Excellence in Management F i n a n c i a l P r o g r a m s Chartered Financial Analyst Programs (CFA ) Dr. Ahmad Y. Dashti Globalization,

More information

The Bond Fund of America

The Bond Fund of America The Bond Fund of America Summary prospectus March 1, 2015 Class A B C F-1 F-2 529-A 529-B 529-C 529-E ABNDX BFABX BFACX BFAFX ABNFX CFAAX CFABX CFACX CFAEX 529-F-1 R-1 R-2 R-2E R-3 R-4 R-5 R-6 CFAFX RBFAX

More information

Audit committee forum*

Audit committee forum* Ashok Bakhru Chairman of the Board Goldman Sachs Group of Mutual Funds Ashok Bakhru is President of ABN Associates, a management and financial consulting firm working with mid-size firms. Ashok served

More information

What Happens to MLPs When Interest Rates Rise?

What Happens to MLPs When Interest Rates Rise? What Happens to MLPs When Interest Rates Rise? Asset Class Comparison Current Yields MLPs 6.1% Utilities 4.1% REITS 3.7% S&P 500 2.2% 0% 1% 2% 3% 4% 5% 6% 7% Please see Slide 14 for a definition of the

More information

The Investment Committee of Envestnet (titled the PMC Investment Committee) consists of seven members:

The Investment Committee of Envestnet (titled the PMC Investment Committee) consists of seven members: Investment Committee of Envestnet Asset Management, Inc. 35 East Wacker Drive, Suite 2400 Chicago, IL 60601 312 827 2800 www.envestnet.com March 31, 2013 This Brochure Supplement provides information about

More information

MBAs Targeting Alternative Investment Careers: Opportunities abound for funds seeking top talent

MBAs Targeting Alternative Investment Careers: Opportunities abound for funds seeking top talent Asset Management Search Consultants MBAs Targeting Alternative Investment Careers: Opportunities abound for funds seeking top talent Thought Leadership By: Benjamin Smith, A Changing Post-MBA Landscape

More information

American Funds Insurance Series. U.S. Government/ AAA-Rated Securities Fund. Summary prospectus Class 3 shares May 1, 2016

American Funds Insurance Series. U.S. Government/ AAA-Rated Securities Fund. Summary prospectus Class 3 shares May 1, 2016 American Funds Insurance Series U.S. Government/ AAA-Rated Securities Fund Summary prospectus Class 3 shares May 1, 2016 Before you invest, you may want to review the fund s prospectus and statement of

More information

Investment Banking. Equity Capital Markets

Investment Banking. Equity Capital Markets Investment Banking Equity Capital Markets Raymond James Capital Markets Our mission is to remain a premier investment bank built on trust and relationships. We combine insightful, highquality research

More information

Managed Account Disclosure Statement

Managed Account Disclosure Statement Managed Account Disclosure Statement This brochure provides clients with information about Romano Wealth Management and the Managed Account Program that should be considered before becoming a client of

More information

Stellar Capital Management, LLC

Stellar Capital Management, LLC Stellar Capital Management, LLC 2200 East Camelback Road, Suite 130 Phoenix, Arizona 85016 602.778.0307 Form ADV Part 2B The Brochure Supplement March 25, 2015 This Brochure Supplement provides information

More information

LAZARD GLOBAL INVESTMENT FUNDS PUBLIC LIMITED COMPANY LAZARD EMERGING MARKETS BOND FUND SIMPLIFIED PROSPECTUS. DATE 7 December 2010

LAZARD GLOBAL INVESTMENT FUNDS PUBLIC LIMITED COMPANY LAZARD EMERGING MARKETS BOND FUND SIMPLIFIED PROSPECTUS. DATE 7 December 2010 LAZARD GLOBAL INVESTMENT FUNDS PUBLIC LIMITED COMPANY LAZARD EMERGING MARKETS BOND FUND SIMPLIFIED PROSPECTUS DATE 7 December 2010 This Simplified Prospectus contains key information in relation to Lazard

More information

JHS CAPITAL ADVISORS, LLC

JHS CAPITAL ADVISORS, LLC Firm: JHS CAPITAL ADVISORS, LLC JHS CAPITAL ADVISORS, LLC Asset Manager Founded in Hidden Hidden Hidden Hidden Company Overview of JHS, LLC Headcount: Hidden Assets Under Management: Hidden JHS, LLC, a

More information

FOR IMMEDIATE RELEASE

FOR IMMEDIATE RELEASE FOR IMMEDIATE RELEASE CITIGROUP REPORTS FIRST QUARTER CORE INCOME OF $3.66 BILLION ($0.71 PER SHARE, DILUTED) VS. $3.94 BILLION ($0.76 PER SHARE, DILUTED) IN THE FIRST QUARTER OF 2000 INCOME FROM INVESTMENT

More information

STEPHEN E. CHRISTOPHE

STEPHEN E. CHRISTOPHE STEPHEN E. CHRISTOPHE CURRENT POSITIONS Principal Consultant, Nathan Associates Inc. Associate Professor of Finance, George Mason University EDUCATION Ph.D., Finance, University of North Carolina at Chapel

More information

THIS IS EXHIBIT 6 reftrred to in the Affidavit of Glen C. Schmidt % NOTARY PUBLIC/COMMISSIONER FOR OATHS IN AND FOR THE PROVINCE OF ALBERTA

THIS IS EXHIBIT 6 reftrred to in the Affidavit of Glen C. Schmidt % NOTARY PUBLIC/COMMISSIONER FOR OATHS IN AND FOR THE PROVINCE OF ALBERTA THIS IS EXHIBIT 6 reftrred to in the Affidavit of Glen C. Schmidt Sworn before me this Z fday of March, 2015 % NOTARY PUBLIC/COMMISSIONER FOR OATHS IN AND FOR THE PROVINCE OF ALBERTA LEGAL_CAL: I I 810773.1

More information

Wealth W Advisory Services September 2009

Wealth W Advisory Services September 2009 Wealth Advisory Services September 2009 Wealth Advisory Services WL s approach to wealth management Family relationships that extend across five generations, and professionals who have worked with the

More information

Mutual Fund Share Classes and CGMI Compensation

Mutual Fund Share Classes and CGMI Compensation Mutual Fund Share Classes and CGMI Compensation The following is from the Important New Account Information section ( INAI ) contained in your Welcome Book or other disclosures provided to you in connection

More information

IN THIS REVIEW, WE HAVE ARRANGED OUR BUSINESSES AROUND OUR TWO DISTINCT CUSTOMER

IN THIS REVIEW, WE HAVE ARRANGED OUR BUSINESSES AROUND OUR TWO DISTINCT CUSTOMER Review of TD s businesses REVIEW OF TD S BUSINESSES PROFILES OF TD S BUSINESSES TODAY IN THIS REVIEW, WE HAVE ARRANGED OUR BUSINESSES AROUND OUR TWO DISTINCT CUSTOMER BASES RETAIL AND WHOLESALE TO SHOW

More information

Edward W. Hutton, CFA

Edward W. Hutton, CFA Edward W. Hutton, CFA Assistant Professor Department of Commerce Phone: 716-286-8208 Niagara University E-mail: ehutton@niagara.edu EDUCATION Master of Science (M.S.), Financial Economics State University

More information

1364 ishares JPX-Nikkei 400 ETF Data as of September 30, 2015

1364 ishares JPX-Nikkei 400 ETF Data as of September 30, 2015 1364 ishares JPX-Nikkei 400 ETF Data as of September 30, 2015 Fund Description (Investment Policy) ishares JPX-Nikkei 400 ETF seeks to provide performance that closely corresponds to the performance of

More information

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 55946 / June 25, 2007 INVESTMENT ADVISERS ACT OF 1940 Release No. 2610 / June 25, 2007

More information

BMO Mutual Funds. Annual Information Form. April 13, 2015

BMO Mutual Funds. Annual Information Form. April 13, 2015 BMO Mutual Funds Annual Information Form April 13, 2015 Offering series A securities, series T5 securities, series T6 securities, series T8 securities, series F securities, series D securities, series

More information

An investor s guide to purchasing mutual funds and 529 plans through Ameriprise Financial

An investor s guide to purchasing mutual funds and 529 plans through Ameriprise Financial An investor s guide to purchasing mutual funds and 529 plans through Ameriprise Financial For more than 60 years, mutual funds have been one of the best ways for individual investors to participate in

More information

Names, Addresses and Experience of Directors and Officers

Names, Addresses and Experience of Directors and Officers Page 1 Names, Addresses and Experience of Directors and Officers Woodbury Casino, LLC is wholly owned by Caesars Growth Partners. Caesars Acquisition Company is the managing member of Caesars Growth Partners.

More information

Constructing Your Investment Portfolio Advanced

Constructing Your Investment Portfolio Advanced Constructing Your Investment Portfolio Advanced Strategies to Reduce Volatility and Enhance Returns 2014 FPANY s 12 th Annual Financial Fitness Workshop Presented by: Lewis J. Altfest, CFP, CFA, CPA, PFS

More information

Wealth management advisory. Ernst & Young Financial Services Office

Wealth management advisory. Ernst & Young Financial Services Office Wealth management advisory Ernst & Young Financial Services Office Wealth Management Advisory Overview Financial services is Ernst & Young s largest global industry group. We deliver wealth management

More information

EDWARD L. BUBNYS, PH.D. 289 Abbott Run Valley Road Cumberland, RI 02864-3253 Phone and Fax: 401-334-9838 E-mail Address: edward.bubnys@cox.

EDWARD L. BUBNYS, PH.D. 289 Abbott Run Valley Road Cumberland, RI 02864-3253 Phone and Fax: 401-334-9838 E-mail Address: edward.bubnys@cox. EDWARD L. BUBNYS, PH.D. 289 Abbott Run Valley Road Cumberland, RI 02864-3253 Phone and Fax: 401-334-9838 E-mail Address: edward.bubnys@cox.net HIGHER EDUCATION: Ph.D. 1978, Economics, University of Illinois,

More information

Business Finance: U.S. Legal Framework and Introduction to Equity Crowdfunding Crowdfunding Pro and Contra Denver, Colorado

Business Finance: U.S. Legal Framework and Introduction to Equity Crowdfunding Crowdfunding Pro and Contra Denver, Colorado Business Finance: U.S. Legal Framework and Introduction to Equity Crowdfunding Crowdfunding Pro and Contra Denver, Colorado Brian Korn May 3, 2013 What is Corporate Finance? Companies need money to operate

More information

DILUTED EPS $1.04, UP BY MORE THAN 50% FROM $0.68

DILUTED EPS $1.04, UP BY MORE THAN 50% FROM $0.68 FOR IMMEDIATE RELEASE Citigroup Reports Record Core Income for the First Quarter First Quarter Core Income Rises 49% to $3.6 Billion from $2.4 Billion Revenues up 19% to $17.5 Billion from $14.7 Billion

More information

Greater Rochester, NY Region's Top Banks, 2013

Greater Rochester, NY Region's Top Banks, 2013 Greater Rochester, NY Region's Top Banks, 2013 Rank Bank Local Staff, Local Offices 1 M&T Bank Corp. 518, 37 2 JPMorgan Chase Bank N.A. NA, 29 3 Canandiagua National Bank & Trust 509, 24 4 RBS Citizens

More information

INTERACTIVE BROKERS DISCLOSURE STATEMENT FOR BOND TRADING

INTERACTIVE BROKERS DISCLOSURE STATEMENT FOR BOND TRADING INTERACTIVE BROKERS DISCLOSURE STATEMENT FOR BOND TRADING THIS DISCLOSURE STATEMENT DISCUSSES THE CHARACTERISTICS AND RISKS OF TRADING BONDS THROUGH INTERACTIVE BROKERS (IB). BEFORE TRADING BONDS YOU SHOULD

More information

MT RUSHMORE SECURITIES, LLC. Presents THE ALTERNATIVE FUND PLATFORM

MT RUSHMORE SECURITIES, LLC. Presents THE ALTERNATIVE FUND PLATFORM MT RUSHMORE SECURITIES, LLC Presents THE ALTERNATIVE FUND PLATFORM Dear Investor and Advisor, Our objective is to provide you with: ACCESS: Leading Alternative Managers at Low Minimums. PEACE OF MIND:

More information

RESPONSES TO THE REQUEST FOR ADDITIONAL INFORMATION. DATED NOVEMBER 24, 2014. FROM THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM

RESPONSES TO THE REQUEST FOR ADDITIONAL INFORMATION. DATED NOVEMBER 24, 2014. FROM THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM PUBLIC REDACTED VERSION. RESPONSES TO THE REQUEST FOR ADDITIONAL INFORMATION. DATED NOVEMBER 24, 2014. FROM THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM IN CONNECTION WITH THE APPLICATION TO THE

More information

MARGARET HUGHES-MORGAN 4 0 3 N. Bu siness C om pl ex Ea st La n sing, M I 4 8 8 24

MARGARET HUGHES-MORGAN 4 0 3 N. Bu siness C om pl ex Ea st La n sing, M I 4 8 8 24 MARGARET HUGHES-MORGAN 4 0 3 N. Bu siness C om pl ex Ea st La n sing, M I 4 8 8 24 H u ghe157@msu.edu 8 5 9-967-3 913 EDUCATION University of Kentucky Ph.D. Strategic Management (2008) Massachusetts Institute

More information

David Finley Managing Director 617.695.0201 dave@sverica.com

David Finley Managing Director 617.695.0201 dave@sverica.com David Finley Managing Director 617.695.0201 dave@sverica.com Mr. Finley is a Managing Director in Sverica's Boston office, having joined the firm in October 2006. Mr. Finley leads Sverica s investments

More information

Payne 202C (615) 322-7972 (Office) (615) 343-7094 (Fax) john.bachmann@vanderbilt.edu

Payne 202C (615) 322-7972 (Office) (615) 343-7094 (Fax) john.bachmann@vanderbilt.edu JOHN A. BACHMANN, PhD Senior Lecturer Department of Leadership, Policy and Organizations Peabody College of Vanderbilt University Peabody Box 414 Nashville, TN 37203-5721 Payne 202C (615) 322-7972 (Office)

More information

Biography Investment Professionals Large Cap Core Team

Biography Investment Professionals Large Cap Core Team Large Cap Core Team Daniel J. Manion, CFA Senior Director of Equity Research Sentinel: 1993 Dan joined Sentinel in 1993 and is director of equity research as well as a portfolio manager for the Sentinel

More information

2013 FIXED INCOME TRADING

2013 FIXED INCOME TRADING 2013 FIXED INCOME TRADING IN WEALTH MANAGEMENT MARKETING, PRICING AND SUPPORT PRACTICES A SUMMARY OF FINDINGS 2013 PATPATIA & ASSOCIATES, INC. Copyright 2013 In July 2013 Patpatia & Associates conducted

More information

Craig G. Fischer Atlantic Financial Services, Inc. 920 Providence Rd. Suite 201 Towson, MD 21286 3/30/2011

Craig G. Fischer Atlantic Financial Services, Inc. 920 Providence Rd. Suite 201 Towson, MD 21286 3/30/2011 Craig G. Fischer Atlantic Financial Services, Inc. 920 Providence Rd. Suite 201 Towson, MD 21286 3/30/2011 This brochure provides information concerning the services and business practices of Atlantic

More information

K. Gunnar Bjorklund Managing Director 415.249.4902 gunnar@sverica.com

K. Gunnar Bjorklund Managing Director 415.249.4902 gunnar@sverica.com K. Gunnar Bjorklund 415.249.4902 gunnar@sverica.com Mr. Bjorklund is a co-founder of Sverica International and is based in the San Francisco office. He serves on the board of several of Sverica s portfolio

More information

Election Notice. Notice of Annual Meeting of FINRA Firms and Proxy. June 29, 2011. Executive Summary. Suggested Routing. Executive Representatives

Election Notice. Notice of Annual Meeting of FINRA Firms and Proxy. June 29, 2011. Executive Summary. Suggested Routing. Executive Representatives Election Notice Notice of Annual Meeting of FINRA Firms and Proxy Executive Summary The Financial Industry Regulatory Authority, Inc. (FINRA) will conduct its annual meeting of firms on Wednesday, August

More information

Website Address: www.ag.ny.gov Click on Investors (212) 416-8222 BROKER-DEALER AND SECURITIES REGISTRATION INFORMATION SHEET*

Website Address: www.ag.ny.gov Click on Investors (212) 416-8222 BROKER-DEALER AND SECURITIES REGISTRATION INFORMATION SHEET* Page 1 of 5 Revised 8/01 I. ISSUERS OF SECURITIES* Website Address: www.ag.ny.gov Click on Investors (212) 416-8222 BROKER-DEALER AND SECURITIES REGISTRATION INFORMATION SHEET* Statutory Authority General

More information

Annual Information Form dated October 23, 2015

Annual Information Form dated October 23, 2015 Offering securities of the Investor Series, unless otherwise indicated (and securities of the Advisor, F, Institutional, M, O, R, F5, T5, T, E, FT, N and NR Series where indicated). Annual Information

More information

Office of the Comptroller of the Currency

Office of the Comptroller of the Currency (1 of 6) Interpretations - Conditional Approval #208 Office of the Comptroller of the Currency Interpretations - Conditional Approval #208 Published in Interpretations and Actions August 1996 June 28,

More information

FULL-YEAR REVENUE UP 14%

FULL-YEAR REVENUE UP 14% FOR IMMEDIATE RELEASE CITIGROUP REPORTS 4 th QUARTER AND FULL-YEAR EARNINGS 4th QUARTER CORE INCOME OF $3.33 BILLION, Up 11%, NET OF $146 MILLION CHARGE FOR TRANSPORTATION LOSS PROVISION AND CONFORMING

More information

SUMMARY PROSPECTUS. TCW High Yield Bond Fund FEBRUARY 29 I SHARE: TGHYX N SHARE: TGHNX

SUMMARY PROSPECTUS. TCW High Yield Bond Fund FEBRUARY 29 I SHARE: TGHYX N SHARE: TGHNX TCW High Yield Bond Fund I SHARE: TGHYX N SHARE: TGHNX 20 6 FEBRUARY 29 SUMMARY PROSPECTUS Before you invest, you may want to review the Fund s Prospectus which contain more information about the Fund

More information

TMLS Singapore Bond Fund (the Fund ) is an investment-linked policy sub-fund offered by Tokio Marine Life Insurance Singapore Ltd.

TMLS Singapore Bond Fund (the Fund ) is an investment-linked policy sub-fund offered by Tokio Marine Life Insurance Singapore Ltd. TMLS SINGAPORE BOND FUND SUMMARY (SUPPLEMENT TO PRODUCT SUMMARY) This supplement forms part of the product summary. You should read this together with the relevant Product Summary. Description of the Fund

More information

The Weiner Wealth Management Group

The Weiner Wealth Management Group The Weiner Wealth Management Group Helping you pursue your financial goals. The Weiner Wealth Management Group Our mission is to guide our clients in their quest to preserve and grow their assets over

More information

SO YOU THINK YOU WANT TO START AN OIL AND GAS COMPANY?

SO YOU THINK YOU WANT TO START AN OIL AND GAS COMPANY? SO YOU THINK YOU WANT TO START AN OIL AND GAS COMPANY? Petroleum Engineers Club of Dallas. April 11, 2014 Martin V. Fleming, Co Founder and Managing Director THE INFORMATION CONTAINED IN THIS PRESENTATION

More information

EMERGENCY DEBT RELIEF SERVICES. Proposal and Capability Statement

EMERGENCY DEBT RELIEF SERVICES. Proposal and Capability Statement EMERGENCY DEBT RELIEF SERVICES Proposal and Capability Statement. SUMMARY OF PROPOSAL Who We Are What We do What We Are Offering Appendix: CV s WHO WE ARE. Advisory Firm located in Washington DC Run by

More information

I. CONTRIBUTIONS made to issuer officials (listed by state)

I. CONTRIBUTIONS made to issuer officials (listed by state) Name of dealer: Prager & Co., LLC Report Period: First Quarter of 2016 I. CONTRIBUTIONS made to issuer officials (listed by state) Complete name, title (including any city/county/state or other political

More information