Experienced Senior Executive with a consistent track record of leading sales and production teams, and building profitable growth businesses and multi-million dollar brands.
Experienced leader with strong background in guiding teams, managing complex projects, and achieving strategic objectives. Excels in developing efficient processes, ensuring high standards, and aligning efforts with organizational goals. Known for collaborative approach and commitment to excellence.
Overview
46
46
years of professional experience
1
1
Certification
Work History
Head of Commission Management Group - Global Business and Market Structure
Mizuho Securities USA
10.2017 - Current
Advise executive leadership on global expansion and the go-to-market strategy to enter the billion dollar commission management business
Oversee and lead their CMG effort
Consult on all market structure issues
Advise, design, oversee implementation and manage all regulatory, compliance and operational technology and procedures
Head of Commission Management Group - Global Business and Market Structure
Mizuho Securities USA
10.2017 - Current
Advise executive leadership on global expansion and the go-to-market strategy to enter the billion dollar commission management business
Oversee and lead their CMG effort
Consult on all market structure issues
Advise, design, oversee implementation and manage all regulatory, compliance and operational technology and procedures
Founder, Chairman of the Board
IPC Beverage Group, Inc., dba: EnergIce
09.2012 - Current
Founded and developed an innovative and disruptive consumer goods brand with leading food, flavor and development company Wild Flavors. A healthy frozen novelty ice bar for athletes, active lifestyle, manual labor and healthcare.
Partnered with Jel Sert, the world's largest manufacturer of frozen novelty ice bars
Develop and lead the company's strategic business and marketing plan
Lead the sales effort for retail (Dick's Sporting Goods, Rite Aid, National Grocery Chains, etc.)
Lead the sales effort for professional and collegiate teams (i.e. NY Yankees, Cleveland Indians, NY Giants, USMA, Univ. Florida, USC, NC State, Penn. State etc.)
Work with the National Sanitation Foundation 'NSF' to secure the coveted NSF Certified for Sport certification
Negotiated partnerships with top celebrities and athletic talent, such as Shaquille O'Neal 'SHAQ' and others, to help promote the brand
Responsible for the company's valuation and capital raising efforts
Founder, Chairman of the Board
IPC Beverage Group, Inc., dba: EnergIce
09.2012 - Current
Founded and developed an innovative and disruptive consumer goods brand with leading food, flavor and development company Wild Flavors. A healthy frozen novelty ice bar for athletes, active lifestyle, manual labor and healthcare.
Partnered with Jel Sert, the world's largest manufacturer of frozen novelty ice bars
Develop and lead the company's strategic business and marketing plan
Lead the sales effort for retail (Dick's Sporting Goods, Rite Aid, National Grocery Chains, etc.)
Lead the sales effort for professional and collegiate teams (i.e. NY Yankees, Cleveland Indians, NY Giants, USMA, Univ. Florida, USC, NC State, Penn. State etc.)
Work with the National Sanitation Foundation 'NSF' to secure the coveted NSF Certified for Sport certification
Negotiated partnerships with top celebrities and athletic talent, such as Shaquille O'Neal 'SHAQ' and others, to help promote the brand
Responsible for the company's valuation and capital raising efforts
Managing Partner
Mandalay Group & Assoctiaes, LLC
Summerland Key, FL
07.2021 - 10.2024
Responsible for working with Architects, General Contractor,Building Departments et al., to design and obtain approval(s) to build a seven-home luxury enclave with boating, sports and other amenities in the Florfida Keys
Oversaw budget management, ensuring alignment with financial goals and resource allocation.
Responsible for the group's financing and capital raising efforts
Responsible for project oversight and daily interaction with the GC.
Responsible for coordination of all other contractors that are engaged to perform services (solar specialist, landscapers, dock builders, etc)
Managing Director - Global Head CMG, Sr. Client Relationship Management & Member of US Business Development Committee
CLSA
New York, NY
10.2014 - 10.2017
Responsible for building Global CSA and Introducing Brokerage business comprised of 110 clients generating $75m in commission revenue
Responsible for new business development and relationship management with senior staff at a top institutional account, globally (US, UK, EUR, ASIA & AUSTRALIA).
Developed CLSA's Third Party Broker Dealer and Independent Research Vendor program of over 300 global research providers
Designed, implemented and managed all regulatory, compliance, operational infrastructure and procedures
Managing Director - Global Head CMG, Sr. Client Relationship Management & Member of US Business Development Committee
CLSA
New York, NY
10.2014 - 10.2017
Responsible for building Global CSA and Introducing Brokerage business comprised of 110 clients generating $75m in commission revenue
Responsible for new business development and relationship management with senior staff at a top institutional account, globally (US, UK, EUR, ASIA & AUSTRALIA).
Developed CLSA's Third Party Broker Dealer and Independent Research Vendor program of over 300 global research providers
Designed, implemented and managed all regulatory, compliance, operational infrastructure and procedures
Managing Director - Global Head CMG, Institutional Sales & Relationship Management, Member of US Executive Management Committee
Macquarie Capital (US) Inc
New York, NY
09.2009 - 10.2014
Responsible for developing Macquarie's Global CSA commission business of 140 clients with commission revenue in excess of $125m
Partnered with global sales teams to introduce business relationships with Top Institutional Accounts (US, UK, EUR, ASIA & AUSTRALIA)
Responsible for all respective product education to global sales and compliance staff around the world
Developed strategic programs to leverage the firm's global execution facilities
Developed all operational procedures and technology design to support the Global CMG business
Managing Director - Global Head CMG, Institutional Sales & Relationship Management, Member of US Executive Management Committee
Macquarie Capital (US) Inc
New York, NY
09.2009 - 10.2014
Responsible for developing Macquarie's Global CSA commission business of 140 clients with commission revenue in excess of $125m
Partnered with global sales teams to introduce business relationships with Top Institutional Accounts (US, UK, EUR, ASIA & AUSTRALIA)
Responsible for all respective product education to global sales and compliance staff around the world
Developed strategic programs to leverage the firm's global execution facilities
Developed all operational procedures and technology design to support the Global CMG business
Managing Director - Global Head CMG, Senior Relationship Management
Banc of America Securities
New York, NY
05.2007 - 09.2009
Responsible for leading BofA's Global Commission Management Business
Responsibilities included relationship management with top global institutional accounts
Worked with COO to analyze client profitability
Developed strategic partnership with a top Global Bank for international executions
Developed and managed BofA's Third Party Broker Dealer and Independent Research Vendor program
Responsible for all regulatory oversight of the business unit
Managing Director - Global Head CMG, Senior Relationship Management
Banc of America Securities
New York, NY
05.2007 - 09.2009
Responsible for leading BofA's Global Commission Management Business
Responsibilities included relationship management with top global institutional accounts
Worked with COO to analyze client profitability
Developed strategic partnership with a top Global Bank for international executions
Developed and managed BofA's Third Party Broker Dealer and Independent Research Vendor program
Responsible for all regulatory oversight of the business unit
Executive Director - Global Director Commission Management Group, Senior Relationship Manager
Morgan Stanley
New York, NY
01.2001 - 04.2007
Originated Morgan Stanley's Global CSA, Soft Dollar Business
Responsible for sales of the firms CSA's, CCA's, Soft Dollars, Execution Plus/Third Party Broker Dealer Research Programs, which consisted of over 400 Institutional and Hedge Fund accounts representing over $250M in commission revenue
Designed and implemented Morgan Stanley's Third Party B/D Research Vendor Program, utilizing our electronic execution platform 'PASSPORT' initially targeted at Hedge Funds
Responsible for spear heading the technology selection for the business units administration and analytical reporting
Responsible for hiring and overseeing a full global staff totaling 26 employees
Developed and implemented all regulatory, compliance and operational procedures
Educated global staff of over 200 people, consisting of sales/traders, research sales, prime brokerage and operational groups
Member of the firm's Global Strategic Unbundling Committee
Executive Director - Global Director Commission Management Group, Senior Relationship Manager
Morgan Stanley
New York, NY
01.2001 - 04.2007
Originated Morgan Stanley's Global CSA, Soft Dollar Business
Responsible for sales of the firms CSA's, CCA's, Soft Dollars, Execution Plus/Third Party Broker Dealer Research Programs, which consisted of over 400 Institutional and Hedge Fund accounts representing over $250M in commission revenue
Designed and implemented Morgan Stanley's Third Party B/D Research Vendor Program, utilizing our electronic execution platform 'PASSPORT' initially targeted at Hedge Funds
Responsible for spear heading the technology selection for the business units administration and analytical reporting
Responsible for hiring and overseeing a full global staff totaling 26 employees
Developed and implemented all regulatory, compliance and operational procedures
Educated global staff of over 200 people, consisting of sales/traders, research sales, prime brokerage and operational groups
Member of the firm's Global Strategic Unbundling Committee
President, Principal - Chapdelaine Pension Services Group
Chapdelaine Corp. Sec.
New York, NY
05.1999 - 01.2001
Formed a new business for Commission Recapture/Directed Brokerage with strategic partners UBS Warburg, Credit Suisse First Boston, Citigroup and Lehman
Developed all essential product offerings, hired and trained all sales and trading staff
The aforementioned business was profitably sold to the Bank of New York
President, Principal - Chapdelaine Pension Services Group
Chapdelaine Corp. Sec.
New York, NY
05.1999 - 01.2001
Formed a new business for Commission Recapture/Directed Brokerage with strategic partners UBS Warburg, Credit Suisse First Boston, Citigroup and Lehman
Developed all essential product offerings, hired and trained all sales and trading staff
The aforementioned business was profitably sold to the Bank of New York
Executive Director, Soft Dollar's & Plan Sponsor Services
UBS Warburg
Stamford, CT
10.1998 - 05.1999
Initiated Firm's entry in the soft dollar and pension fund directed brokerage business
Hired and trained all trading and sales professionals about the business
Executive Director, Soft Dollar's & Plan Sponsor Services
UBS Warburg
Stamford, CT
10.1998 - 05.1999
Initiated Firm's entry in the soft dollar and pension fund directed brokerage business
Hired and trained all trading and sales professionals about the business
Managing Director, Plan Sponsor Group
BNY ESI
New York, NY
10.1998 - 05.1999
Developed strategy for Soft Dollar and Commission Recapture/Directed Brokerage Business
Built and managed a sales and client service group consisting of 12 professionals
Leveraged the firm's new software product for revenue tracking and compliance adherence
Educated and managed over 100 Bank employees to develop leads for both sales and trading
Managing Director, Plan Sponsor Group
BNY ESI
New York, NY
10.1998 - 05.1999
Developed strategy for Soft Dollar and Commission Recapture/Directed Brokerage Business
Built and managed a sales and client service group consisting of 12 professionals
Leveraged the firm's new software product for revenue tracking and compliance adherence
Educated and managed over 100 Bank employees to develop leads for both sales and trading
Managing Director, Senior Partner and Global Head of Sales
Lynch, Jones & Ryan, Member NYSE
New York, NY
01.1988 - 12.1997
Built and managed a Global Staff of 30 professionals
Opened several regional sales offices in Chicago, Dallas, San Francisco, Washington DC and London
Responsible for developing marketing and pricing strategies for all products
Built and led the #1 Plan Sponsor Commission Recapture Business with over $60M in revenue and 750 Institutional/Corporate Pension Funds, as well as the Soft Dollar Business with over $30M and 250 Institutional Investment Advisors
Responsible for the sourcing and acquisition of new research affiliations
Responsible for all Plan Sponsor education at the NYSE
Member of the Board of Directors, Executive Committee, and the firm's Strategic Committee
Managing Director, Senior Partner and Global Head of Sales
Lynch, Jones & Ryan, Member NYSE
New York, NY
01.1988 - 12.1997
Built and managed a Global Staff of 30 professionals
Opened several regional sales offices in Chicago, Dallas, San Francisco, Washington DC and London
Responsible for developing marketing and pricing strategies for all products
Built and led the #1 Plan Sponsor Commission Recapture Business with over $60M in revenue and 750 Institutional/Corporate Pension Funds, as well as the Soft Dollar Business with over $30M and 250 Institutional Investment Advisors
Responsible for the sourcing and acquisition of new research affiliations
Responsible for all Plan Sponsor education at the NYSE
Member of the Board of Directors, Executive Committee, and the firm's Strategic Committee
Vice President
Financial Performance Corp
New York, NY
09.1986 - 12.1987
Vice President
Financial Performance Corp
New York, NY
09.1986 - 12.1987
Assistant Manager - Investment Bank
Citibank
New York, NY
09.1985 - 09.1986
Assistant Manager - Investment Bank
Citibank
New York, NY
09.1985 - 09.1986
Senior Accountant - Audit
Ernst & Whinney
New York, NY
01.1980 - 09.1985
Senior Accountant - Audit
Ernst & Whinney
New York, NY
01.1980 - 09.1985
Education
B.S. - Accounting
CW Post College, School of Professional Accounting
<ul><li>Company Overview: Group Company of PUIG, Spain</li><li>Team Leadership & Process Excellence: Organised the transformation of the Finance & Accounts function, establishing performance-driven goals, and embedding a culture of accountability and continuous improvement. Drove operational efficiency through process redesigns, SOP implementation and optimal resource deployment, leading to measurable improvements in turnaround time and accuracy.</li><li>Strategic Partnering with CXOs: Acted as a key advisor to the CEO, CFO, and other CXOs on business planning, pricing strategies, and business model pivots to support scale-up and profitability. Contributed to investor communications with data-backed insights to enhance stakeholder confidence and secure strategic funding.</li><li>Cross-Functional & Global Stakeholder Management: Functioned as the strategic finance business partner to cross-functional heads and the PUIG global finance team, aligning local execution with global financial strategies and compliance requirements.</li><li>ERP Transformation & System Automation: Led end-to-end ERP reimplementation to address system gaps, enforce role-based controls, and automate core finance processes—resulting in enhanced data accuracy, faster reporting and improved internal controls.</li><li>Costing, Inventory & Profitability Optimization: Designed and implemented plant-level costing models to ensure accurate COGS determination. Improved inventory management across pricing, consumption tracking, and aging analysis—enabling better working capital control and cost efficiency.</li><li>Manufacturing Finance & Statutory Compliance: Supervised end-to-end accounting for manufacturing operations and ensured full statutory compliance.</li><li>Financial Reporting, MIS & Profitability Analytics: Delivered accurate and timely monthly MIS reports, including P&L, Balance Sheet and KPI dashboards with deep-dive variance analysis across stores, business verticals, and geographies. Supported board-level decision-making through insightful presentations on financial health and business performance.</li><li>Budgeting, Forecasting & Business Planning: Led the Annual Operating Plan (AOP) and rolling forecasts, ensuring alignment with strategic objectives and market dynamics. Monitored key financial metrics to enable business decisions and proactive cost management.</li><li>Statutory, Internal & Tax Audit Management: Finalized standalone and consolidated financials under Ind AS and IFRS, ensured timely group reporting and compliance with international standards. Delivered clean and timely closures of statutory, tax, and internal audits in coordination with Big 4 auditors. Strengthened audit readiness through pre-audit diagnostics and rectification of recurring control gaps.</li><li>Regulatory Compliance & Risk Management: Ensured end-to-end compliance which includes ROC, RBI, FEMA, Income Tax, GST, Transfer Pricing, DTAA, and Customs. Reviewed cross-border contracts and transactions to ensure arm’s length pricing, accurate TDS application, and proper documentation under Transfer Pricing regulations.</li><li>Commercial Negotiation & Contract Governance: Led commercial negotiations and structured deals with vendors and franchisees. Reviewed key business contracts to ensure financial viability, risk protection, and compliance with regulatory standards.</li><li>Treasury & External Commercial Borrowing (ECB): Managed fund planning and liquidity management including ECB drawdowns, bank negotiations, and interest optimization. Improved working capital cycles through proactive cash flow forecasting and receivables control.</li><li>Internal Controls & Governance Framework: Led organization-wide reviews of internal control systems, identified process gaps, and redesigned or implemented over 40 SOPs and IFCs. Established a governance structure for financial discipline, risk mitigation, and policy compliance across departments.</li></ul> at Kama Ayurveda Pvt. Ltd. & PUIG India Pvt. Ltd.<ul><li>Company Overview: Group Company of PUIG, Spain</li><li>Team Leadership & Process Excellence: Organised the transformation of the Finance & Accounts function, establishing performance-driven goals, and embedding a culture of accountability and continuous improvement. Drove operational efficiency through process redesigns, SOP implementation and optimal resource deployment, leading to measurable improvements in turnaround time and accuracy.</li><li>Strategic Partnering with CXOs: Acted as a key advisor to the CEO, CFO, and other CXOs on business planning, pricing strategies, and business model pivots to support scale-up and profitability. Contributed to investor communications with data-backed insights to enhance stakeholder confidence and secure strategic funding.</li><li>Cross-Functional & Global Stakeholder Management: Functioned as the strategic finance business partner to cross-functional heads and the PUIG global finance team, aligning local execution with global financial strategies and compliance requirements.</li><li>ERP Transformation & System Automation: Led end-to-end ERP reimplementation to address system gaps, enforce role-based controls, and automate core finance processes—resulting in enhanced data accuracy, faster reporting and improved internal controls.</li><li>Costing, Inventory & Profitability Optimization: Designed and implemented plant-level costing models to ensure accurate COGS determination. Improved inventory management across pricing, consumption tracking, and aging analysis—enabling better working capital control and cost efficiency.</li><li>Manufacturing Finance & Statutory Compliance: Supervised end-to-end accounting for manufacturing operations and ensured full statutory compliance.</li><li>Financial Reporting, MIS & Profitability Analytics: Delivered accurate and timely monthly MIS reports, including P&L, Balance Sheet and KPI dashboards with deep-dive variance analysis across stores, business verticals, and geographies. Supported board-level decision-making through insightful presentations on financial health and business performance.</li><li>Budgeting, Forecasting & Business Planning: Led the Annual Operating Plan (AOP) and rolling forecasts, ensuring alignment with strategic objectives and market dynamics. Monitored key financial metrics to enable business decisions and proactive cost management.</li><li>Statutory, Internal & Tax Audit Management: Finalized standalone and consolidated financials under Ind AS and IFRS, ensured timely group reporting and compliance with international standards. Delivered clean and timely closures of statutory, tax, and internal audits in coordination with Big 4 auditors. Strengthened audit readiness through pre-audit diagnostics and rectification of recurring control gaps.</li><li>Regulatory Compliance & Risk Management: Ensured end-to-end compliance which includes ROC, RBI, FEMA, Income Tax, GST, Transfer Pricing, DTAA, and Customs. Reviewed cross-border contracts and transactions to ensure arm’s length pricing, accurate TDS application, and proper documentation under Transfer Pricing regulations.</li><li>Commercial Negotiation & Contract Governance: Led commercial negotiations and structured deals with vendors and franchisees. Reviewed key business contracts to ensure financial viability, risk protection, and compliance with regulatory standards.</li><li>Treasury & External Commercial Borrowing (ECB): Managed fund planning and liquidity management including ECB drawdowns, bank negotiations, and interest optimization. Improved working capital cycles through proactive cash flow forecasting and receivables control.</li><li>Internal Controls & Governance Framework: Led organization-wide reviews of internal control systems, identified process gaps, and redesigned or implemented over 40 SOPs and IFCs. Established a governance structure for financial discipline, risk mitigation, and policy compliance across departments.</li></ul> at Kama Ayurveda Pvt. Ltd. & PUIG India Pvt. Ltd.
Global Head - Broadband and IOT Business at Ran Communication Solutions Pvt. Ltd.Global Head - Broadband and IOT Business at Ran Communication Solutions Pvt. Ltd.