Resume – Curriculum Vitae

SUMMARY

An investment professional with over 25 years of capital markets experience in equity research and principal investing as the senior technology analyst at Citi/Salomon Smith Barney, Bear Stearns and Lehman Brothers.

  • Achieved top ranking among all Wall Street equity research analysts nationwide according to polls held by Institutional Investor Magazine, Reuters and the Wall Street Journal
  • Identified major global macro themes for investment recommendations
  • Conducted fundamental industry and company research on publicly-traded equity securities in the U.S., Europe and the Middle East
  • Created and maintained detailed financial and valuation models on public companies
  • Integrated with equity research teams in Asia, including Hong Kong, Japan and China
  • Collaborated with investment banking teams to develop relationships with executive management teams and industry sources to originate transactions on an international level
  • Demonstrated ability to work with ambiguity and complex strategic analysis
  • Assimilated large amounts of data into a concise messages and investment recommendations
  • Communicated and quantified the financial impact of new information and market developments to portfolio managers, institutional investors, other investment professionals and corporate executives in the C-Suite throughout the United States, Europe and Asia
  • Generated new business with technology startups and publicly traded companies worldwide.
  • Mentored and led a high performance research team supporting key clients’ in Europe and Asia
  • Delivered insightful oral and written recommendations in a persuasive and thoughtful manner to institutional investors, executive decision makers and investment bankers
  • Appeared and commented regularly in Forbes, The New York Times, Investors’ Business Daily, Barron’s, CNN and CNBC
  • Provided world-class client service marked by high levels of responsiveness, accuracy, insight, urgency, attention to detail, professionalism, follow-through and enthusiasm

PROFESSIONAL EXPERIENCE

Morgan Stanley – Wealth Advisor Dallas, TX

Cairn Ridge Holdings, LLC, PrincipalDallas, TX, 2001 to 2016

Principal investor for private family office focused primarily on publicly-traded securities, direct private investments, hedge funds, venture capital funds and real estate.

Citi/Salomon Smith Barney, Equity Research – New York NY 1998-2001

Managing Director/ Senior Equity Research Analyst / Telecommunications Equipment

  • Increased annualized sector commission revenues from $47 million to $96 million in the first year
  • Captured new business with corporate clients and startups across the U.S. and Europe
  • Improved ranking with internal employees to #2 from #8 of about 200 analysts company-wide
  • Ranked #1 in wireless equipment and Ranked #2 in wireline equipment among all Wall Street analysts according to nationwide polls of institutional investors

Analyzed and evaluated financial statements and justified investments in publicly-traded equity securities of telecommunications equipment companies such as Nokia, Qualcomm, Lucent, Motorola, and Ericsson. Presented recommendations to institutional investors.  Presented investment recommendations internally to sales, trading and investment banking as well as externally to institutional investors.  Negotiated with Senior Executives and Board Members. Developed new business opportunities. Mentored personnel. Host and guest speaker at CDMA World Congress, Citi Technology Conference, Citi CEO Conference and Citi Media and Communications Conference.

Bear Stearns & Company, Equity Research – New York, NY, 1996 to 1998

Managing Director / Senior Equity Research Analyst / Telecommunications Equipment

  • Achieved a co-manager position on Lucent Technologies Initial Public Offering (IPO) which was the largest IPO at that time
  • Ranked as top Telecommunications Equipment Analyst nationwide among all Wall Street analysts according to nationwide polls of institutional investors

Managed investment recommendations and relationships with major corporations including Nokia, Qualcomm, Lucent, Motorola, Ericsson, and Alcatel. Analyzed client financial statements and determined growth prospects. Presented recommendations to institutional investors. Conducted negotiations with Executives and Board Members of startups and large multi-national corporations. Developed new business opportunities. Mentored personnel. Host and guest speaker at investor conferences and industry trade shows, including the Bear Stearns Technology Conference.

Lehman Brothers, Equity Research Department New York, NY, 1992 to 1996

Vice President/ Senior Equity Research Analyst / Telecommunications Equipment Analyst

  • Ranked by the internal sales force as one of the top 10 analysts from a team of more than 150 analysts
  • Ranked #2 Telecommunications Equipment analyst nationwide among all Wall Street analysts according to nationwide polls of institutional investors

Managed investment recommendations and relationships with major corporations including Qualcomm, Cisco, Gilat Networks, Lannet Data Systems, Nice Systems, Synoptics, Wellfleet, 3Com and Nortel.  Analyzed client financial statements and determined growth prospects. Presented recommendations to institutional investors. Interacted with Executives and Board Members to conduct negotiations. Developed new business opportunities. Mentored personnel.  Host and guest speaker at the Lehman Brothers Technology Conference and Lehman Growth Stock Conference.

Dain Bosworth, Vice President / Equity Research Analyst, Minneapolis, MN 1991-1992

W.K. Woodruff & Company, VP/Equity Research Analyst, 1985-1991

EDUCATION

 

Executive MBA Southern Methodist University, Dallas, TX

BBA, Finance, Loyola University – Chicago, IL   

Computer Engineering courses, University of Iowa

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