Corporate Profile
All client personnel have been appropriately registered with FINRA, the SEC, and the Illinois Department of Insurance. Please examine our staff biographical sketches provided below. In respect to our government clients, our staff is well versed in state statutes that pertain to investment of public operating monies as well as statutes applicable to investments for state police and fire pension funds. Our staff also remains very active in state and nationally related organizations serving California governmental entities.
Director of International Trading
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Managing Director
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Senior Vice President
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PERSONAL BACKGROUND:
* Born, December 31, 1946. Son of a career US Army Officer
* Graduated 1969 from United States Military Academy, West Point, N.Y. with B.S. Engineering
* Active duty 1969-1974 receiving honorable discharge with permanent classification as a
service-connected disabled veteran
* Married with three children - 38,31, 26
WORK HISTORY:
* Mischler Financial Group, Inc. - Owner, Lead Principal, Chairman and CEO
* Mischler Liberty - Majority Owner, Lead Principal, President
* Mischler Financial Services - Owner, DBA
* Liberty Capital Markets Inc. - Account Executive, Sales Manager
* Black & Decker - Western U.S. Sales Manager
* Squibb Pharmaceutical - Southwestern U.S. Sales Manager
* Procter and Gamble - Sales Representative, District Field Representative, Unit Manager
LICENSES:
* Series 7 - Full Registration / General Securities Representative
* Series 24 - General Securities Principal
* Series 53 - Municipal Securities Principal
* Series 63 - Uniform Securities Agent
PERSONAL EXPERIENCE:
* 1996-Present: Mischler Financial Group, Inc. Corona Del Mar, CA. Chief Operating Officer responsible for trading and sales, institutional fixed income broker-dealer certified as a Disabled Veteran Business Enterprise.
* 1995-1996: Gilford Securities, Inc., Newport Beach, CA. Managing Director, Fixed Income. Established an institutional fixed income branch in Newport Beach to service 8 branch offices of Gilford Securities.
* 1985-1995: Liberty Capital Markets, Irvine, CA. Co-founder, President and CEO of Liberty Capital Markets, a fixed income broker dealer, dealing with institutional clients. Responsible for day-to-day activities of the firm, including trading, sales, operations, and compliance.
* 1981-1985: Liberty Monetary Services, Newport Beach, CA. President and CEO of Liberty Monetary Services, and administrative firm that contracted with fixed income broker dealers to handle all administrative and operational functions on a contract basis.
EDUCATION:
* Golden Gate University, San Francisco, CA - Bachelor of Arts Degree, Business Administration, 1971
LICENSES:
* Series 3 - Commodities Futures
* Series 7 - Full Registered General Securities Representative
* Series 22 - Direct Participation Programs Representative
* Series 24 - General Securities Principal
* Series 39 - Direct Participation Programs Principal
* Series 53 - Municipal Securities Principal
* Series 63 - Uniform Securities Agent
PROFESSIONAL EXPERIENCE:
Dean Chamberlain is a Managing Director and Principal of Mischler Financial Group (MFG), the oldest Service Disabled Veteran (DVBE) broker-dealer. In this capacity Mr. Chamberlain is tasked with growing MFG’s overall business in the Americas as well as its international equity trading and distribution capabilities and debt and equity capital markets.
Prior to joining Mischler Financial, Mr. Chamberlain was Co-Head of Fixed Income for the Americas for Nomura Securities International (NSI). He also served as Head of Distribution in both North and South America. Mr. Chamberlain was the senior American Representative for Nomura Holdings America, where he was also the sole American member of the Global Fixed Income Management Committee. Mr. Chamberlain sat on the Board of NSI and took Nomura Securities profitably through the global credit crisis and the process of becoming a Primary Dealer for US Treasury Securities.
Mr. Chamberlain joined Nomura Securities in 2005 from Bank of America Securities, where he was instrumental in business growth as Head of Structured Products distribution for the Midwest region. Mr. Chamberlain began his financial services career in 1992 trading mortgage and asset-backed products at Donaldson, Lufkin & Jenrette.
Prior to working in the financial services industry, Mr. Chamberlain served as an Army Officer in various leadership positions with the U.S. 4th Infantry Division.
EDUCATION:
Mr. Chamberlain holds a Bachelor of Science Degree in Mechanical Engineering Management from the United States Military Academy at West Point and a Masters in Business Administration from J.L. Kellogg Graduate School of Management at Northwestern University.
PERSONAL:
Residing in Old Greenwich, CT, with his wife and three children, Mr. Chamberlain also serves various charity positions with a focus on disabled veterans and disadvantaged children.
PROFESSIONAL EXPERIENCE:
- Magna Securities Global – Co-CEO/Institutional Trader
- Tradewinds Global – VP Institutional Trader
- Teacher Retirement System of Texas – Senior International Trader
EDUCATION AND LICENSES:
- American Graduate School of Management MBA
- Washburn University BA
- FINRA Series 7, 55, & 63 Licenses
SPECIALIZATION:
Herman Barber has 18 years of investment experience executing trades in U.S., Europe, Asia, Latin America, and Canadian markets. Herman is proficient in executing block trades and program trades through various algorithmic platforms and ECN’s.
EXPERIENCE:
• Mischler Financial Group, Inc.
• Deutsche Bank AG Bankers Trust Division
• Federal Deposit Insurance Corp. (FDIC)
• Resolution Trust Corporation
Annie Bonner has been in the financial industry for over twenty-six years and has extensive knowledge in operations and trading of fixed income securities. Originally, from New York, she relocated to the West Coast and held various positions in the brokerage industry. Subsequently, she accepted a position with the RTC as an Asset Marketing Specialist and later, the FDIC as a Credit Specialist where her responsibilities included packaging and securtizing whole loans and asset backed products. At Deutsche Bank, she was a CMBS Loan Administrator in the Corporate Trust and Agency Group, Bankers Trust Division She joined Mischler Financial in 1998 as a Fixed Income Trader. Her responsibilities include corporate and agency bond trading, money markets, managing dealer inventories and interfacing with dealers and clients.
EDUCATION AND LICENSES:
BS, Pepperdine University, Business Management, Cum Laude
Series 7 – Full Registration, General Securities Representative
Series 63 – Uniform Securities Agent, State Law
PROFESSIONAL EXPERIENCE:
Mr. Clifton has over 30 years of industry experience, predominately as an executing floor broker of three major exchanges. Mr. Clifton was an Options Specialist on the American Stock Exchange. Prior to joining Mischler Financial Group, Mr. Clifton also worked for Robert Precheter’s Elliott Wave Theorist as a Market Chartist and Institutional Salesman.
EDUCATION & SECURITIES LICENSES:
Series 7 – Full Registration, General Securities Representative
Series 55 – Equity Trader
Series 63 – Uniform Securities Agent, State Law
He is a graduate of Brookdale Community College with an Associate’s degree in
business.
SPECIALIZATION:
Mr. Clifton is proficient in risk/arbitrage, stock options, technical analysis, pairs
trading, relative value investing and volume weighted average pricing.
PROFESSIONAL EXPERIENCE:
Thomas Dedo is a dedicated investment professional who provides clients with more than 15 years of experience in financial asset management.
EDUCATION & SECURITIES LICENSES:
Series 7 – Full Registration, General Securities Representative
Series 63 – Uniform Securities Agent, State Law
BBA, Michigan State University – Emphasis in Business Management and Finance
SPECIALIZATION:
Thomas specializes as a full-service institutional broker for fixed income securities.
PERSONAL BACKGROUND:
A native of Michigan, Thomas has lived in California for over 20 years.
REFERENCES AVAILABLE UPON REQUEST
David has an extensive background in fixed income, specifically in GSE related debt products and includes new issue debt origination, sales and trading. Throughout his career David has relied heavily on relative value analysis and enjoys reputation of high integrity within the industry. Prior to joining BNY Mellon, David was a director in the fixed income division of Nomura Securities International. Before his employment with Nomura Securities, David was a Vice President with Chase Securities, Inc. David began his career on Wall Street at Discount Corporation of New York, one of the original primary dealers in the U.S. Treasury market, where he focused on financial futures, options and fixed income product sales.
EDUCATION:
BS Finance and Management – Lehigh University
SECURITY LICENSES:
Series 7 – Full Registration, General Securities Representative
Series 24 – General Securities Principal
Series 63 – Uniform Securities Agent
PERSONAL:
David presently resides in New Canaan, CT with his wife and three children.
IN BRIEF:
Joe Foye is a Vice President of Fixed Income Securities with Mischler Financial Group, Inc. He provides services to institutional clients, with an emphasis to Insurance Companies, Lending Institutions, Money Managers and Non-Profit Agencies.
BACKGROUND:
Joe Foye holds a bachelor’s degree in business administration, with an emphasis in finance from California State University Fullerton.
Joe began his professional career as a corporate auditor with Oshman’s Sporting Goods in 1984. He later took a job as a corporate controller for Jewelmasters, Inc. a nationwide fine jewelry company. However, it was the investment world that had always been Joe’s ambition, so in 1993 he joined Liberty Capital Markets, a regional Broker Dealer in Irvine, CA. In 1996, Joe moved to Mischler Financial Group to join his friend, Walt Mischler. He is now responsible for providing services to many Lending Institutions, Insurance Companies, and Money Mangers. He also manages the fixed income portfolio for Eastern Idaho Special Services Agency, a non-profit agency designed to help less fortunate citizens of Eastern Idaho.
Joe is active in the investment community, as he proudly serves on the Investment Advisory Board for the city in which he resides, the City of Huntington Beach, California.
SECURITIES LICENSES:
Series 7 – Full Registration, General Securities Representatives
Series 63 – Uniform Securities Agent, State Law Exam
BACKGROUND:
Michael is a native of California with an undergraduate degree from California Polytechnic University Pomona. While at Pomona, he earned his degree in Business with a minor in Business Administration. He is an honor roll recipient receiving both grants and scholarships for his academic accomplishments.
Since graduation, Michael has stayed active in business management including areas of finance, accounting and cash management. He is registered with the National Association of Securities Dealers and holds the following licenses: Series 24 (General Securities Principal), Series 7 (Full Registration/General Securities Representative), Series 53 (Municipal Securities Principal) and Series 63 (Uniform Securities Agent). He is licensed to perform as an account executive and municipal principal at Mischler Financial Group.
Michael’s wife, Rosemary, is the Director of Communications at the Placentia Yorba Linda School District. Michael is also an avid golfer.
SPECIALIZATION:
For the past 12 years Michael has specialized in institutional fixed income sales, concentrating in the Treasury, Agency, Municipal and Corporate sectors. At Mischler Financial Group, Michael also participates in domestic and international equity and international fixed-income trades.
Michael works hand-in-hand with the trading desk at Mischler Financial Group to provide the best possible price execution and product availability.
PERSONAL STYLE:
“My primary concern is defining what my clients’ needs are and fulfilling them. I feel fiduciary responsibility to my clients and the funds I invest for them. For many years, my focus has been to meet my clients’ goals and fulfill their responsibilities to their supervisors. My goal is to provide realistic ideas and value oriented investment strategies based upon current market opportunities.”
Leslie Graves is a senior member of the Mischler Financial Capital Markets team focusing on Bank and Finance issuers. Prior to joining Mischler, Leslie worked at Credit Suisse for 26 years. She began her career as a floating rate note trader. She later moved to the fixed income syndicate desk to focus on frequent issuers including agencies and domestic and yankee banks. Leslie has experience structuring various floating rate products, and has worked with issuers on buybacks and examining various funding alternatives.
EDUCATION:
AB Economics, Duke University
MBA University of Virginia, The Darden School
LICENSES:
Series 7- Full Registration, General Securities Representative
Series 3 - National Commodity Futures
Series 5 - Interest Rate Options
Series 63 - Uniform Securities Agent, State Law
Series 24 - General Securities Principal
PERSONAL:
Leslie lives in Darien, CT with her husband and three children.
PROFESSIONAL EXPERIENCE:
Robert Karr is Managing Director at Mischler Financial Group (MFG), the oldest Service Disabled Veteran Owned broker-dealer. Robert is focused on growing MFG’s overall business in the Americas as well as its debt and equity capital markets and debt trading and distribution capabilities.
Prior to joining MFG, Robert spent 8 years at Bank of America Securities where he was the Global Head of Structured Finance Trading. In this role Robert was responsible for ABS, CMBS, and CDO primary and secondary trading in cash and synthetic markets as well as associated asset aggregation and funding programs. Robert was also responsible for a total return swap program predominantly for senior secured bank loans. In addition, he was in charge of research and analytics for the related sectors of the market.
Prior to joining BAS, Robert spent 12 years at Prudential Securities where he most recently ran new issue and secondary market trading for the ABS, RMBS, CMBS, CDO, and SBA markets. Earlier, Robert developed computer analytics, structured deals and published research for asset backed securities.
Earlier in his career, Robert developed computer models for financial applications at Security Pacific Merchant Bank and he designed digital circuitry for telecommunications products at Timeplex, Inc.
EDUCATION:
Robert holds a B.A. in Physics from Bowdoin College and a B.S. in Electrical Engineering from Columbia University
PERSONAL:
Robert resides in New Canaan, CT with his wife and four children.
IN BRIEF:
Mr. Kersh is a Senior Vice President-Investments with Mischler Financial Group, Inc and the National Sales Director of the American Freedom Funds. He specializes in providing services to institutional clients with an emphasis in Pension Funds, Municipal clients, and Money Mangers. Mr. Kersh also actively works to promote Mischler Financial’s status as a Service Disabled Veterans Business Enterprise.
SECURITIES LICENSES:
Series 7 – General Securities Representative
Series 24 – General Securities Principal
Series 63 – Uniform Securities Agent
California Insurance Agent License Number OB86989
Illinois Insurance Agent License Number 543562879
BACKGROUND:
Mr. Kersh is originally from Oregon. He has been married over 20 years and has two children, Zackery and Dominique. He completed his Bachelors degree in Political Science at San Francisco State University. Upon graduation, he started working for a financial firm in Newport Beach, California where he helped raise capital for the regional Broker/Dealer, Liberty Capital Markets. Scott worked at Liberty as one of their key personnel for ten years. In 1992, he joined Prudential Securities as a Regional Institutional Financial Advisor, Senior Vice President Investments. At both Liberty and Prudential, Scott distinguished himself by being a consistent member of the Directors and President councils. In 1997, Scott joined Mischler Financial Group. In 2003 Scott became the National Sales Director of the American Freedom Funds. Scott keeps himself healthy an active by surfing, skiing, and participating in his children’s academic and athletic pursuits.
AFFILIATIONS:
• Government Finance Officers Association
• Illinois Government Finance Officers Association
• Director of American Veterans Education Foundation
SPECIALIZATION:
Dennis specializes in institutional clients that manage public funds. This includes state and county, local municipalities, and money managers as well as deposit institutions.
SECURITIES LICENSES:
Series 7 – Full Registration, General Securities Representative
Series 53 – Municipal Securities Principal
Series 63 – Uniform Securities Agent – State Law
BACKGROUND:
Dennis has more than 30 years experience in trading fixed income securities including money markets, domestic and international capital markets. He has extensive institutional contacts, and is a long-term relationship builder with a top reputation for servicing clients. He is a member of the California Municipal Treasurers’ Association, Government Finance Officers Association – and the Association of Public Treasurers. He has been an Orange County resident since 1984. He is married and has three daughters.
PRIOR EXPERIENCE:
1996 to present: Mischler Financial Group, Inc. 1995 to 1996 Gilford Securities. 1988 to 1995 Liberty Capital Markets, Irvine California. 1977 – 1987 Bank of America. 1986 – 87: Institutional Sales, Los Angeles. 1984 – 85: VP and Manager Retail Sales, Los Angeles. 1982 – 84: Director, BA Asia Ltd., Tokyo Japan. 1979-82: VP and Manager, Houston. 1977-79: Institutional Sales, Los Angeles. 1970 – 1977 Montgomery Ward Credit Corporation, Chicago Illinois. 1968 – 1970: American National Bank and Trust Co., Chicago Illinois.
EDUCATION:
University of Chicago, MBA 1973
University of Wisconsin, BBA 1967
SPECIALIZATION:
Michael specializes as a full-service institutional broker for fixed income securities. He also manages client relationships for Disabled Veteran Business Enterprise directed domestic and international equity transactions.
BACKGROUND:
Michael is a native of California, currently living in Novato.
He attended California Polytechnic State University, majoring in Business and Engineering. His finance experience includes working in the Wealth Management sector within JP Morgan and Credit Suisse.
EDUCATION & SECURITIES LICENSES:
• Series 7- Full Registration, General Securities Representative
• Series 63- Uniform Securities Agent, State Law
• Level I Candidate in the CFA Program
• B.S. Business- Industrial Technology, with and emphasis in Finance and Accounting, California Polytechnic State University, San Luis Obispo
EXPERIENCE:
- Mischler Financial Group, Inc.—Director institutional sales & Trading
- Instinet Group—Institutional Broker, hedge fund division
- Cornerstone Securities—Securities Broker and Branch Manager
EDUCATION & LICENSES:
- University of Southern California, Bachelor of Science, Marshall School of Business, Finance emphasis
- Series 7-General Securities
- Series 55-Equity Trader
- Series 63- Uniform Securities Agent
- Series 24-General Securities Principal
- Real Estate Broker DRE
Ron is a senior member of MFG’s Capital Markets Team and Head of Fixed Income Syndicate, Utilities Debt Capital Markets and Primary Sales. Ron will also help forge strategic relationships to expand Mischler’s platform. Ron joined MFG from Aladdin Capital, LLC, where he held the same positions and was instrumental in building out its minority broker-dealer. In a short time, Aladdin surpassed many legacy MBEs to secure a #3 ranking in Thomson Reuters’ Co-Manager Fixed Income League table thru June 2011 while garnering the reputation as offering “best in class” new issue distribution. Ron has over 18 years of experience in investment banking, syndicate and trading in the U.S. and international markets and has worked within the minority space with large cap corporate clients and investors. Previously, Ron built the syndicate desk at minority firm, CastleOak Securities, before accepting a more senior position to head Fixed Income Syndicate and Origination at Utendahl Capital Partners, L.P. At BNP Paribas, Ron ran the syndicate desk responsible for the issuance of high-grade, high-yield and emerging markets new issues. He also worked at Merrill Lynch. Before entering the financial services industry, Ron was a film producer with Young & Rubicam Advertising from 1983 to 1987.
EDUCATION:
Ron graduated with a B.A. in Cinema-Television from the University of Southern California.
Series 7 – Full Registration, General Securities Representative
Series 63 – Uniform Securities Agent, State Law
EDUCATION:
Ron resides in Greenwich, CT with his wife and daughter.
IN BRIEF:
Mr. Rankens is a Senior Vice President, Investments with Mischler Financial Group, Inc., and the National Director of the American Freedom Funds He specializes in providing services to institutional clients with emphasis on Governmental Entities, School Districts, and Public Pension Funds.
SECURITY LICENSES:
Series 7 – Full Registration/General Securities Representative
Series 24 – Registered General Securities Principal
Series 66 – Uniform Securities Agent and Uniform Investment Advisor
Illinois Insurance Agent, License No. 377469948
BACKGROUND:
Mr. Rankens is originally from Michigan and maintains residence in both Illinois and Michigan. Larry is married to Kay and has three children - Tracy, Mitchell and Kristi. He earned his Bachelor of Science degree in Labor and Industrial Relations as well as his MBA in Accounting and Financial Administration from Michigan State University. He has spent over thirty years serving the public sector as a chief financial officer, consultant, banker, investment advisor and broker. He also has extensive experience in the development and marketing of money market funds.
PERSONAL STYLE:
“Having served the public sector as both an administrator and investment service provider, it is clear to me that the relationship between a broker and a client must be built on trust. I consider it my responsibility to understand my client's needs. Rather than offer just "shelf products", I always attempt to provide them with viable alternatives that address their individual needs. My technical knowledge, understanding of eligible investments for public entities and extensive experience in the public sector allows me to provide the best service possible to my customers.”
AFFILIATIONS:
• National, Illinois and Michigan Government Finance Officers Associations
• National, Illinois and Michigan Associations of School Business Officials
• National, Illinois and Michigan Municipal Treasurers Associations
• Michigan Association of County Treasurers
• Director Smart Money / Smart Women Association
BUSINESS BACKGROUND:
Steve joined Mischler in 2009 after working 10+ years on the "buy side" as an analyst and trader for a fixed income money management firm. He started at the ground floor in operations and helped manage the growth of the business, ultimately moving into trading and analysis of various market sectors, such as treasuries, agencies, mortgage backed securities, commercial mortgage backed securities and asset backed securities. He plans to use the experience he gained to help him better focus on the needs of clients, having sat in their seat and understanding their needs. Steve will work directly with Jeffrey Swan to further develop the MBS-ABS department.
EDUCATION AND LICENSES:
- California State University Fullerton - Bachelor of Arts, Business Administration - Finance 1993
- CFA Institute - Level II Candidate
- Series 7 - Full Registration, General Securities Representative
- Series 63 - Uniform Securities Agent State Law Examination
- Series 65 - Uniform Investment Adviser Law Examination
Prior to joining Mischler Financial Group, Don worked at Nomura Securities International (NSI) for seventeen years. He was a Managing Director and Branch Manager of the West Coast. At one time, his responsibilities included supervising taxable fixed income sales, institutional equity sales, CMBS originations, municipal bond originations, and residential mortgage originations.
Before his employment with NSI, Don briefly supervised taxable fixed income sales at Smith Barney as a Senior Vice President. He was in charge of the institutional fixed income department in Los Angeles.
Prior to joining Smith Barney, Don worked at Kidder, Peabody where he was a partner and Senior Vice President. His responsibilities included managing the fixed income and future sales department in Los Angeles.He worked there for over sixteen years.
Before joining Kidder, Peabody, Don was employed at Dupont, Glore, Forgan as a retail equity salesman for a couple of years.
EDUCATION:
Robert holds a B.A. with honors from Stanford University.
PERSONAL:
Don resides in Pacific Palisades, California with his wife and thirteen year old son.
Jeff Swan joined Mischler in 1996 and has twenty-six years of professional investment experience in the institutional fixed income markets. His knowledge and coverage of various market sectors enable him to provide clients with a wide range of solutions to achieve their investment goals. He provides market strategies, trade ideas, sector and asset selections for his clients with an awareness and understanding of their investment policy and objectives. Jeff combines his knowledge and experience with the latest technologies in order to respond to the complex demands of changing investment and regulatory environments. Clients include insurance companies, lenders and public sector institutions.
Jeff is the Director of Mortgage & Asset Backed Trading for Mischler. He attended the University of Arizona and the University of Southern California and is a Registered Principal with the firm.
EXPERIENCE:
- Residential Capital, Director of Investor Relations
- Bondhub, Director
- Jefferies & Company, Vice President
- Drexel Burnham Lambert, Vice President
PROFESSIONAL BACKGROUND:
Tom Szulga has performed all aspects of sales and trading, specializing in High Yield debt since 1987 when he started his career at Drexel Burnham Lambert. His past experience includes Jefferies & Company, Bondhub, and Residential Capital. Tom graduated from California State University Northridge and has had extensive coursework at the New York Institute of Finance. He has held the following licenses: Series 3, 7, 24, 53 & 63.
SPECIALIZATION:
Ms. Vaughan specializes in serving Institutional Clients with an emphasis on Municipalities.
SECURITIES LICENSES:
Series 7 – Full Registration, General Securities Representative
Series 24 – Registered General Securities Principal
Series 63 – Uniform Securities Agent, State Law
BUSINESS BACKGROUND:
Raised and educated in Oregon, Sheri’s career started at Citizens Bank of Corvallis. She finished her career there as the youngest Loan Officer and Operations Manager the bank had ever produced.
In May 1984, shortly after relocating to California, Sheri joined a local Fixed Income Broker Dealer. She began in the Clearing and Operations department and again through hard work was promoted to Operations Manager responsible for clearing all trades through Wall Street.
Sheri was promoted to the Trading Desk in January 1987. She was then responsible for trading Treasuries, Strips, Agencies, and Commercial Paper. For seven years, she worked on the desk assisting the sales force in product knowledge and research.
In early 1994, Sheri chose to leave the trading desk for a new and different challenge in Institutional Sales. She brings to this position and her clients her years of experience, professional dedication and lots of hard work. Sheri’s service and in- depth understanding of the business has earned her a position of much respect among all of her clients.
PERSONAL:
Sheri lives in Irvine, California. Sheri’s hobbies include nature photography, gardening, and many different arts and crafts. She also stays in shape by weight training, running, and hiking.
PERSONAL EXPERIENCE
* Mischler Financial Group, Inc. - Senior Vice President, Institutional Sales/Trader
* Gilford Securities, Inc. - Institutional Account Executive
* Liberty Capital Markets, Inc. - Institutional Account Executive
* U.S. Government Accountability Office - Evaluator/ Management Consultant
* Wells Fargo Bank, Commercial Banking - Loan Support
EDUCATION
* CFA Institute-CFA Charter holder
* California State Polytechnic University, Pomona, Bachelor of Science Cum Laude, Business Administration: Finance Real Estate and Law
* Boise State University - General Education
LICENSES
* Series 4 - Registered Options Principal
* Series 7 - Full Registration - General Securities
* Series 24 - General Securities Principal
* Series 63 - Uniform Securities Agent - State Law
* Series 55- Equity Trader
SPECIALIZATION
Matthew Villarreal is an institutional sales/trader of fixed income and equity securities. Using a client’s investment objectives and policy, Matthew can assist in selecting a portfolio strategy, selecting the appropriate assets, and measuring and evaluating performance. Current customers include money managers, insurance companies, banks, corporations, and municipalities.
SECURITIES LICENSES:
Series 7 – Full Registration, General Securities Representative
Series 63 – Uniform Securities Agent, State Law
BUSINESS BACKGROUND:
Deborah has 20 years experience in institutional fixed-income operations, as well as experience as a Trading Assistant. With 10 years as an Operations Manager for a regional broker dealer, she developed and implemented an operational procedure clearing $2 billion annually and servicing over 50 account executives and their clients.
Well versed in all aspects of government, corporate, municipal and mortgage-backed issues, her vast knowledge of operations facilitates accurate trade clearance and exceptional performance within the operations realm. Deborah has become an integral part of Mischler Financial Group by bringing her operational expertise and dedication to client service.
EXPERIENCE:
* Mischler Financial Group - Operations and Technology,
* Western Asset Management Company - Senior Operations Specialist (Fixed Income, Derivatives)
* Nicholas Applegate Capital Management - Trade Operations Specialist - (US Equities, Fixed Income, Performance Measurement)
* Sundial Marketplace Corp. - Project Management Intern
* Web Developer and Administrator for various private and independent companies.
EDUCATION:
San Diego State University, Bachelor of Science, Information Systems
Member of the Association of Information Technology Professionals - SDSU Chapter
PERSONAL:
A native of Southern California, Glen enjoys basketball, technology, snowboarding, and exploring music with his children.
PROFESSIONAL EXPERIENCE:
Mischler Financial Group, Inc.
- Information Technology Manager
Liberty Capital Markets, Inc.
- Operations Department Liaison
First Interstate Capital Markets, Inc.
- Administration Supervisor
Thompson McKinnon
- Supervisor - MBS Allocations
SPECIALIZATIONS:
Michael's Wall Street background of 20 plus years from mortgage backed securities to equities has been a great asset. As IT Manager, Michael also oversees all technology matters at Mischler Financial Group.
PERSONAL BACKGROUND
* Born in Manhattan, New York
* Married 17 years with two children
* Outside interests - family activities, racquetball, basketball and computers
PROFESSIONAL EXPERIENCE:
• JVB Financial – Director of Operations
• Sovereign Advisers – Director of Operations
• Wafra Investment Advisors – V.P. Security Operations
• Bank of New York – Account Officer
Tim has over 20 years of experience in the Financial Services Industry. Most recently he headed the operations departments of a broker dealer, as well as an investment advisor that both specialized in fixed income securities. Prior to this, Tim spent 10 years in the operations department of a global investment advisor that managed balanced and emerging market funds. There he gained invaluable experience handling trade processing and settlements, managing custodial and broker relationships, and executing both foreign exchange and equity transactions where he advanced to the level of V.P.
EDUCATION & SECURITIES LICENSES:
• New York Institute of Technology - BS Finance
• Series 7 – Full Registration, General Securities Representative
BUSINESS BACKGROUND:
In January 2008, Michael left a career in real estate sales to enter the securities industry and joined Mischler Financial Group. He currently works on various administrative projects including updating Mischler Financial Group’s client database and client relationship management system.
Michael looks forward to contributing to Mischler Financial Group’s continued success and expansion into other areas of the financial service industry.
EDUCATION & LICENSES:
BA of Liberal Arts – San Diego State University
Multiple Subject Teaching Credential
Real Estate Broker License #01409426
AFFILIATIONS:
Orange County Association of Realtors (OCAR)
PERSONAL:
In his spare time Michael enjoys many ocean and outdoor activities including surfing, snowboarding, and golfing.
EXPERIENCE
* Mischler Financial Group, Inc. - Controller and Vice President, Investments
* Gilford Securities, Inc. - Operations Manager
* Liberty Capital Markets, Inc. - Controller
EDUCATION AND LICENSES
* Series 7 - General Securities Representative
* Series 24 - General Securities Principal
* Series 27 - Finance / Operations Principal
* Series 63 - Uniform Securities Agent
SPECIALIZATION
Ben specializes as a full-service institutional broker of all fixed income securities. Using a client’s investment objectives and policy, Ben can assist in selecting a portfolio strategy, selecting the appropriate assets, and measuring and evaluating performance. Customers serviced include money managers, housing agencies, hospitals and credit unions.
PERSONAL BACKGROUND
* Born in Manhattan, New York on June 22, 1958
* Married eighteen years with three children
* Outside interests - Family activities, basketball, camping, sports and church functions
BUSINESS BACKGROUND:
She currently serves as Co-Office Manager, along with Sheryl Urtusuastegui and Sophia Ross, at Mischler Financial Group. This includes working directly with the President and the Chief Executive Officer, along with assisting the various sales representatives with their account maintenance and marketing efforts.
PRIOR EMPLOYMENT:
NAMSA – Administrative Assistant
WMCI – Office Manager
SKILLS & KNOWLEDGE:
Bondedge Portfolio Analytic System
Bloomberg
Microsoft Office
Access
ACT
PERSONAL:
Currently continuing college education, as well as studying for applicable FINRA
exams. She enjoys spending time with her family and friends.
EDUCATION / OTHER CREDENTIALS:
Bachelor of Arts, Psychology
California State University San Marcos
BUSINESS BACKGROUND:
In June 2002, Sophia left her position in Human Resources at the Ritz-Carlton, to enter the securities industry and join Mischler Financial Group. It has been an exciting and wonderful move for her and Mischler Financial Group considers itself lucky to have her energy and experience with our firm. She is looking forward to increasing her experience through NASD exams.
Besides heading our Personnel Department, She currently serves as Co-Office Manager, along with Sheryl Urtusuastegui, at Mischler Financial Group.
PERSONAL:
A native to Southern California, Sophia lives with her husband Eric. Sophia’s hobbies include family activities, Snowboarding, and Beach going. Sophia stays in shape by running, and weight training.
SECURITIES LICENSES:
Series 7 – Full Registration, General Securities Representative
Series 63 – Uniform Securities Agent, State Law
EDUCATION / OTHER CREDENTIALS:
Paralegal Certificate
Bachelor of Science in Criminal Justice
BUSINESS BACKGROUND:
In May 1986, Sheryl left a law firm to join a fixed income broker dealer locally here in Southern California. During the 9 years at that firm, she performed various duties including Paralegal, Personnel Director, Compliance Assistant, Assistant to the Sales Manager and Assistant to In-House Counsel.
In August 1995, she joined another local fixed income broker dealer. Though she again assisted in both the Compliance and Personnel areas, her primary duties were, under the guidance of the Operations Manager, to handle the day to day clearing and processing of trades as well as all functions of the Operations Department.
She left that firm in October 2000 and joined Mischler Financial Group. Along with Sophia Ross, she serves as Co-Office Manager and assists in various areas, though primarily focusing on assisting in the Compliance Department.
PERSONAL:
A lifetime resident of Southern California, Sheryl lives with Andy, her husband of 21 years and their 7-year-old son, Matthew. With any spare time, she enjoys acting as a Greeter at Church, working in the school classroom, and spending time with friends.
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Market Data
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MFG News & Information
- Thank You From Mischler Financial Group - December 16, 2011
- Update on November campaign to support Wounded Warrior Project - November 17, 2011
- Veterans Day 2011 - November 1, 2011
- Memorial Day 2011 / Wounded Warrior Project - May 26, 2011
- Memorial Day 2011 - May 5, 2011