ALAN RUBENFELD

** ******* ***.

Jericho, NY *****

H: 516-***-****

M: 516-***-****

acrz6a@r.postjobfree.com

Financial Products LLC (Credit Suisse Strategic Partner), New York September 2014 – Present

Regional Director – ETN and Structured Note Sales

Market and sell Credit Suisse’s Exchange Traded Notes and Structured Notes into the RIA, Institutional and Wealth Management channels, primarily to investment firms with AUM of $1 to $4 billion.

Establish and develop relationships with the CIOs, Directors of Research and key management decision makers at numerous investment management organizations

Seek out potential candidates for Custom Exchange Traded Note and Daily Redeemable Note structures

Represent firm at industry-wide conferences and seminars

CMR & Associates, New York January– August, 2014

Consultant

Developed and refined an extensive data base for a leading insurance consulting organization that advises clients on their property/casualty, group benefits and retirement planning programs

Interviewed and initiated relationships with a large group of defined benefit/defined contribution providers who can provide retirement services to CMR’s clients

QuantShares, New York 2011 – 2013

Director - ETF Sales

Head of sales effort for startup ETF firm, offering a family of factor-based market neutral ETFs

Successfully developed transactional relationships with Institutional, Wealth Management, Broker/Dealer, RIA, Hedge Fund, Wirehouse and Pension & Endowment markets

Created comprehensive marketing, advertising and sales plans across multiple platforms

Edited White Papers on Factor Investing and its role in a client asset allocation strategy

Represented firm at industry-wide conferences and seminars

UBS Investment Bank, Stamford, CT 2009 – 2011

Executive Director - Global Program Trading

Initiated over 25 new trading accounts to GPT desk, including Institutional, Wealth Management and RIA platforms

Expanded UBS footprint in ETF space, trading with a wide variety of Wealth Managers, Registered Investment Advisors, Institutions, Bank Trusts and Broker-Dealers

Actively sales traded for a core group of GPT accounts, utilizing the UBS algo suite

Traded a wide variety of financial instruments, including equities, swaps, futures and ETFs

Successfully cross sold commodities, infrastructure, and commission management services to client base

BNP Paribas Securities, New York 2007 – 2009

Managing Director – Institutional Relationship Management

Managed the client development effort for Institutional Money Managers, Pension Funds and Endowments

Responsible for the identification, coordination and onboarding of over 40 new clients to the Global Equities and Derivatives platform

Sold a variety of derivative-based instruments, including swaps and structured products

Successfully cross-sold entire BNP Paribas platform to major US investment managers and pension funds, including cash equity trading, flow derivatives, structured product solutions and prime brokerage

Negotiated all aspects of client ISDA process in conjunction with BNP Credit and Legal departments

Deutsche Bank Securities, New York 1996 – 2007

Managing Director - Portfolio Trading Sales and Transition Management

Managed sales and marketing for PT products to U.S. institutional community

Consistently generated $8-10mm plus agency PT commissions for ten years, covering many of the largest equity trading desks in the U.S.

Responsible for closing the largest principal portfolio trade ever executed by a broker – over $11 billion -- as well executing other numerous multi-billion global principal and agency transactions

Traded a wide variety of financial instruments, including equities, swaps, futures and ETFs

Maintained, developed and enhanced relationships with numerous institutional clients ranging from active and quant managers, index funds, pensions, fund of fund managers and hedge funds

Worked closely with trading desk to develop strategies for implementing customer portfolio trades

Spoke frequently at industry conferences and events, as well as wrote articles for industry publications

Developed internal sales mechanisms for platform to cross-sell product to global client base

Investment Technology Group, New York 1994 – 1996

Vice President – Sales and Marketing

Marketed ITG’s POSIT and portfolio trading products to global institutional investment community

Achieved annual triple digit growth in customer sales every year with firm

Contributed significantly to the tripling of ITG’s institutional market penetration

Education:

University of Michigan, Ann Arbor

Master of Business Administration – Finance and Accounting - 1981

Bachelor of Arts – English Literature - 1979

Other Information

Author of The Super Traders: Secrets and Successes of Wall Street’s Best and Brightest (Dow Jones Irwin Publishing, 1992). Super Traders was published in both hard cover and paperback editions and was distributed globally, selling over 30,000 copies.

Author of the Traders Magazine April, 2013 cover story: Lessons From The Super Traders 1992 - 2012: The Differences Two Decades Make, A Program Trader’s Rise (August, 2013), Wrap Powerhouse (September, 2013 )

FINRA Licenses: Series 3, 7, 9, 10, 55, 63

ALAN RUBENFELD

INSTITUTIONAL/WEALTH MANAGEMENT RELATIONSHIPS

Investment Managers

Aronson

Bessemer Trust – Wayne Miller

Boston Company – David Brooks

Cramer Rosenthal – Scott Geller

Delaware Investments

Frank Russell

GE Asset – Damien Maroun

Highland Capital – Ethan Powell

INTECH – Joe Runnels

Loomis Sayles

Mellon Capital Management

Met Life – Norm Hu

New York Life – Francis Ok

PineBridge

Pioneer Funds – Bob Gauvain

Standard Life

Thrivent – Kevin Brimmer

UBS Global Asset – Jim Malles

USAA Investment Management – Kevin Kaase

Voya Investment – Nanette Buziak

William Blair – Michael Thompson

World Asset – Ted Miller

Pension Funds/QPAMS

Arizona State Retirement – Paul Matson

CALPERS – Tim Misik

IBM Retirement – Keith Butler

Michigan Retirement

New York State Retirement Fund – Bob Arnold

Ohio Public Employees – Gerald Peters

Ohio State Teachers – Corey Geog

Ontario Teachers – Craig Hurl

Oregon Retirement – Mike Viteri

PSERS – Chris Baker

SEI Investments

Tennessee Consolidated Retirement – Kushal Gupta

Texas Permanent Fund – Karim Hirani

Texas Treasury Safekeeping – Paul Ballard

Verizon Pension Fund – Nick

Virginia Retirement System – Matt Lacy

Wealth Managers

3D Asset – John O’Connor

Acropolis Investment – David Ott

Alpha Architect – Wes Gray

Arrow Investment Advisors – Bill Flaig

Astor Asset Management – Bryan Novack

Clark Capital – Sean Clark

Clifton Group -

Comerica Bank – Ted Miller

Confluence Investment – Bill O’Grady

Deutsche Bank – DWS

Emerald Asset Management – Joe Witthohn

F-Squared Investments – Rich Block

Flexible Plan – George Yang

Gerstein Fisher – Sanjeev Pati

Glenmede Trust – Vlad deVassal

Goldman Sachs Asset Management

Good Harbor – Paul Ingersoll

Gradient – Mike Binger

Harris Private Bank

Hays Advisory - Mark

HPM Partners – Ben Pace

Independent Portfolio Consultants – Arun Kaul

Innealta Capital Management

JMG Advisors – Victor Susanto

Ladenburg – Jeff Caliva

Lockwood

PNC Bank

Richard Bernstein Advisors – Matt Griswold

RiverFront Investment – Rob Glownia

Roosevelt Investments – Nainesh Shah

Spnnaker Trust – Tim Malisa

Stadion Money– Will McGough

Toroso Investments- Mike Venuto

Tuttle Tactical Management – Matt Tuttle

Washington Trust – Kent Gladding

Wells Fargo (Minneapolis) – Lou Carosa

Broker-Dealer Platforms

BA Merrill Lynch – Steve Bayardelle

Benjamin Edwards – Pete Biebel

Bulltick

Citibank

Cantor Fitzgerald

Credit Suisse – Rob Bernstone

Deutsche Bank – Matt Courter

Fidelity

Goldman Sachs – Corey Laing

Jane Street – Dan Macklowitz

Janney Montgomery Scott

JP Morgan - John LaCalle

Knight Capital – Ken Marschner

Kovack Securities

LPL

Merrill Lynch Wealth – Tim Mullin

Morgan Stanley – Steve Chao

Morgan Stanley Wealth – Scott Kravitz

National Securities

Pershing- Terri Mayle

Raymond James

RBC

Scottrade -

Stifel Nicolaus

UBS – Haddon Kirk

UBS Wealth Management

Wallach Beth – Mohit Bajaj

Wells Fargo Advisors

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