Work:
Mcallister Garfield P.c
Attorney, Senior Associate
Jones & Keller Pc May 2013 - Dec 2018
Attorney, Special Counsel, Corporate and Securities Group
Stifel Financial Corp. 2001 - 2006
Vice President - Institutional + Corporate Trader
Chicago Stock Exchange 2000 - 2001
Market Maker
Education:
Drake University 1981 - 1984
Doctor of Jurisprudence, Doctorates, Law
University of Colorado Boulder 1977 - 1981
Bachelors, Bachelor of Science, Finance
New Trier East High School
Skills:
Sales/ Business Development
Law/Compliance
Due Diligence
Business Strategy
Underwriting
Entrepreneurship
Asset Allocation
Strategic Planning
Legal Research
Business Planning
Securities
Equities
Capital Markets
Mergers and Acquisitions
Investments
Financial Services
Private Equity
Legal Compliance
Hedge Funds
Research
Anti Money Laundering
Intellectual Property
Legal Writing
Securities Regulation
Westlaw
Microsoft Excel
Negotiation
Leadership
Management
Public Speaking
Private Placements
Debt and Equity Capital Markets
Capital Raises
Sec Enforcement
Sec Financial Reporting
Institutional Trading
Principal Trading
Drafting Transaction Documents
Finra Licensed Series 7
Corporate Transactional
Regulatory Compliance
Securities Offerings
Investment Banking
Risk Management
Business Development
Series 7
Contracts
Employment Issues
Litigation
Bond Underwriter Counsel
Corporate Law
Commercial Litigation
Interests:
Raising 2 Sons As Eagle Scouts
Skiing
Flyfishing
Mountain Climbing
Snowshoeing
Golfing
Outdoor Recreation
Mountain Biking
Certifications:
Finra Series 7
Chicago Stock Exchange Market Maker
Finra Series 55
Law License Colorado
Law License Illinois
Finra Series 7, 55, 63, 66
