Marc J. Walters
Oakland,MD
Summary
Over 30 years of proven expertise in Fixed Income Trading and Sales across major regional Broker Dealers in the securities industry. Advanced career from Corporate Bond Trader to Managing Director of Corporate Trading. Successfully traded Fixed Income securities on both retail and institutional platforms. Managed daily operations and orchestrated forward-thinking strategies to accomplish profit and expansion goals. Bridged trading knowledge and experience to successful Sales and Sales Management positions. Provided outstanding service to maintain and expand relationships, furthering business opportunities. Created new client relationships through aggressive prospecting and utilized MarketAxess to follow up on client trading activity. Analyzed business needs while soliciting customer feedback for process improvements and better communication with trading desks. Utilized trends in Fixed Income marketplaces to create solutions and refine business strategies. Traveled with Traders and Research Analysts to establish performance goals for clients and provide feedback on methods for reaching milestones. Achieved productivity requirements while ensuring compliance with policies and regulations.
Overview
37
37
years of professional experience
1
1
Certification
Work History
Executive Director
Oppenheimer & Co. Inc.
02.2024 - 11.2024
- Secured key partnerships that contributed to the company''s overall growth strategy and market reach.
- Interacted well with customers to build connections and nurture relationships.
- Boosted client satisfaction rates through exceptional relationship management and prompt resolution of issues.
Senior Vice President
Hilltop Securities
01.2023 - 02.2024
- Developed and executed strategic initiatives to drive business growth, resulting in higher revenues and market share expansion.
- Collaborated with executive leadership team members on long-term strategic planning that ensured sustainable success for the company.
- Developed innovative sales and marketing strategies to facilitate business expansion.
Director
B. Riley Securities
10.2022 - 12.2022
- Leveraged professional networks and industry knowledge to strengthen client relationships.
- Assisted in recruiting, hiring and training of team members.
Director
Fifth Third Securities
12.2019 - 08.2022
- Developed an Investment Grade Credit Sales platform which focused on primary and secondary trading
- Utilized IPREO system for New Issue transactions and MarketAxess to yield deeper understanding of client objectives
Managing Director
CFG Capital Markets
02.2018 - 09.2019
- Developed Sales/Trading platform to generate revenue among Fixed Income institutional investors
- Recruited experienced Sales/Traders with deep relationships necessary to support riskless transactions
Director
R. W. Baird
05.2015 - 01.2018
- Institutional Sales Representative for Investment Grade Credit Sales group
- Worked closely with Investment Grade Traders and other desks to cross-trade all Fixed Income products offered
Director
Janney Montgomery Scott
08.2013 - 05.2015
- Institutional Sales Representative for Fixed Income
- Senior Sales Representative in branch office
- Specialized in Investment Grade credit space
Senior Vice President
Stifel Nicolaus & Company Incorporated
12.2005 - 06.2013
- Institutional Fixed Income Sales Representative working directly on trading desk, leading to enhanced communication and innovative business strategies
- Successfully cultivated multiple new accounts through effective prospecting and marketing
Managing Director
Legg Mason Wood Walker, Inc.
06.2004 - 12.2005
- Head Trader for Investment Grade and High Yield trading desk
- Responsible for P&L and managing positions
- Created innovative swap strategies for sales force execution
Managing Director
Amherst Securities Group
08.2002 - 06.2004
- Established and Co-headed the Corporate Trading and Sales group
- Recruited and built an eight-person department responsible for generating revenue in Institutional Corporate Bond markets
- Principle in charge of overseeing daily P&L and compliance
Senior Vice President
Legg Mason Wood Walker, Inc.
06.1997 - 08.2002
- Corporate Bond Trader in the Investment Grade sector of Fixed Income group
- Focused on REITs, Bank and Finance, and backed other Traders in various sectors
- Integral member of senior management group offering input on the direction and strategy of the trading desk
- Accountable for daily P&L and reconciling long and short positions
Vice President
Alex. Brown & Sons
02.1991 - 06.1997
- Trader working with Investment Banking group to develop relationships and issue debt in the New Issue Corporate Bond market
- Facilitated weekly meetings to market products for sales distribution
Trader
Wheat, First Securities, Inc.
08.1989 - 02.1991
- Retail Corporate Bond Trader
Trader
Butcher & Singer, Inc.
06.1987 - 08.1989
- Retail Corporate Bond Trader
- Marketed New Issue IPOs
Education
Business Management -
Widener University - Brandywine Campus
Wilmington, DEBusiness Management -
York College of Pennsylvania
York, PASkills
- Strategic planning
- Business planning
- Financial management
- Customer service
- Problem solving skills
- Negotiation
Certification
- Series 7
- Series 63
- Series 24
Timeline
Executive Director
Oppenheimer & Co. Inc.
02.2024 - 11.2024
Senior Vice President
Hilltop Securities
01.2023 - 02.2024
Director
B. Riley Securities
10.2022 - 12.2022
Director
Fifth Third Securities
12.2019 - 08.2022
Managing Director
CFG Capital Markets
02.2018 - 09.2019
Director
R. W. Baird
05.2015 - 01.2018
Director
Janney Montgomery Scott
08.2013 - 05.2015
Senior Vice President
Stifel Nicolaus & Company Incorporated
12.2005 - 06.2013
Managing Director
Legg Mason Wood Walker, Inc.
06.2004 - 12.2005
Managing Director
Amherst Securities Group
08.2002 - 06.2004
Senior Vice President
Legg Mason Wood Walker, Inc.
06.1997 - 08.2002
Vice President
Alex. Brown & Sons
02.1991 - 06.1997
Trader
Wheat, First Securities, Inc.
08.1989 - 02.1991
Trader
Butcher & Singer, Inc.
06.1987 - 08.1989
Business Management -
York College of Pennsylvania
Business Management -
Widener University - Brandywine Campus
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