Capital Markets Expertise • Technology Fluency • Enterprise Risk Oversight • Long-Horizon Governance
Board Advisor & Independent Director
I engage selectively in board and advisory roles where independent judgment, discretion, and long-term alignment are essential
I work with boards, founders, family offices, and institutional capital partners
to navigate complexity, exercise disciplined oversight, and allocate
capital with a long-horizon mindset — building durable
enterprise value across public and private markets
Board Snapshot
Current Board & Advisory Roles
Board & Advisory Board Member — three organizations (two for-profit, one nonprofit)
Qualified Financial Expert (QFE) — financial reporting, internal controls & enterprise risk
FINRA Arbitrator — adjudicating complex securities and governance disputes
InfraGard (NY Metro) — Public-private collaboration with the Federal Bureau of Investigation focused on
critical infrastructure protection and national security resilience
Financial & Risk Oversight
Regulated Market Structure & Capital Stewardship
Former Specialist Firm & Market Maker — American Stock Exchange
Led a registered broker-dealer operating as a market maker and specialist on exchange floors
As principal, responsible for capital adequacy, liquidity management, trading risk and capital exposure, FOCUS filings,
audited financial statements, and regulatory compliance
Directed real-time trading and risk management using internally developed proprietary systems, maintaining orderly markets across
multiple market cycles within a highly regulated market structure
Former Specialist Firm & Market Maker — Philadelphia Stock Exchange
Directed exchange-floor trading operations for a registered broker-dealer functioning as a market maker and specialist
Managed capital exposure, liquidity discipline, trading risk, regulatory reporting, and exchange compliance within a
regulated market environment
Founder & Principal — Proprietary Trading / Market Making & Specialist Firm
Founded and led a regulated broker-dealer operating as a specialist and proprietary trading firm
Developed proprietary trading systems deployed by floor traders and specialists
Oversaw capital adequacy, liquidity management, trading risk, capital exposure, regulatory compliance, and enterprise governance
Successfully exited to a NASDAQ-listed company
Crisis & Market Cycle Experience
Operated through major market dislocations:
1987 crash · Long-Term Capital Management (LTCM) · Dot-com unwind · 9/11 · 2008 Financial Crisis · Flash Crash
Capital allocation & liquidity strategy
Technology, AI, cybersecurity & emerging risk oversight
Governance across founder-led, growth-stage & regulated environments
Member — InfraGard, New York Metro Chapter (FBI public-private partnership)
Strategic Governance Focus