Sales Management

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201-***-**** *******@*****.*** www.linkedin.com/in/marlonweems/ Senior Relationship Management and Business Development Executive e x e c u t i v e s u m m a r y Experienced financial services professional possessing high-level institutional relationships with leading market participants, includingU.S. pension funds, asset managers, mutual funds and Fortune 100 Corporations. Dynamic manager and trusted leader of equity salesand trading functions, overseeing trading desk structure, technology and management of sales and trading personnel. Outstandingrecord of achievement in building trading desk operations, recruiting top talent and development of senior-level client relationships.Strengths are developing and maintaining client relationships, assembling and running high performance teams, capturing new businessopportunities and negotiating profitable vendor relationships to enhance operational efficiency and profitability. c r i t i c a l s k i l l s e t Relationship Management Sales Performance Business Development Strategy Development/Execution RFP / RFI Management Trading Desk Management FINRA Compliance Transition Management Commission Management Commission Management Share Repurchase Programs Program Trading p r o f e s s i o n a l e m p l o y m e n t h i s t o r y Director of Equities Telsey Advisory Group New York 2011- 2012 NOTES Marketing of proprietary research and advisory services focused on the broad consumer sector,development of corporate buyback and trading relationships. Sales and marketing strategy targeted totier-one investment managers, U.S. pension funds, hedge funds and Fortune 100 client accounts.Sample relationships include T. Rowe Price, Microsoft Corporation, Lord Abbett, CalSTRS, New JerseyDivision of Investments, New York City Retirement, The Blackstone Group, G.E. Asset Managementand Delaware Investments. Team member for investment banking presentations to institutional capital teams Expanded the firm s secondary trading business with key institutional accounts Marketed proprietary research product to top tier and mid-tier institutions Management of institutional trading relationships Marketing of fundamental research to institutional accounts Development of corporate buyback programs relationships Completion of pension and asset management RFPs on behalf of the firm MARLON WEEMS Page 1 of 3 Managing Director, Head of Equity Sales & Trading CastleOak Securities (Cantor Fitzgerald) New York 2006 -2011 Managed the start-up of equity sales and trading group for affiliate of Cantor Fitzgerald. Managed allclient relationships, new business development, sales strategy, and trading service delivery. Directed allstrategies, processes, and technology implementation targeted to capturing asset managers, pensionfunds and hedge funds as clients. Developed client marketing programs and related FINRA complianceprocedures. P&L accountability for $1 million operating budget with five direct and three indirect reports.Sample relationships include AllianceBernstein, T. Rowe Price, AT&T, Wal-Mart, Walt Disney, IBM,Healthcor Management, Chevron, New York State Common Retirement, Citigroup, General Electric,New York Life, and Microsoft. Drove year- over- year revenue increases of 20%- 30% Boosted sales through introduction of multiple product lines Recruited bulge- bracket sales, trading and research talent Team member for investment banking presentations to institutionals Managed share repurchases for clients valued at $4 billion Developed transition management and commission recapture products Management oversight of all equity sales and trading efforts Development and supervision of OATS and Regulation NMS compliance Managed multiple trading system implementations Completion of pension and asset management RFPs on behalf of the firm President & Chief Operating Officer MultiTrade Securities - New York 2005- 2006 Developed corporate strategy, led effort to revamp existing product offerings. Recruited seasoned sales,trading personnel, redirected focus to customer relationships decreasing costs per trade and upgrade oftrading technology. Developed key sales strategies. Managed company conversion from subscription work flow research business model to electronic/algorithmic trading brokerage business model that included algorithmic developed Europe and LATAM trading. Grew annual revenues by 30%. Relationships included exchange traded fund California Public Employees Retirement System, Capital Guardian and California State Teacher trust account Retirement. sales staff Developed and implemented firm hiring strategy oral communication Established of strategic partnerships for the firm mortgage- backed security Development and implementation of strategy for the firm Management of all vendor relationships proactive client algorithm Senior Vice President, Equity Sales & Trading regulatory agency vFinance Investments, Inc. - New York 2004 2005 institutional Responsible for establishment of institutional equity trading capability in firm s New York office. supervisory Developed electronic equity trading architecture, including domestic and foreign algorithmic trading advisory service capability geographic area Established coverage of top tier institutions accredit Development and implementation of institutional sales and marketing strategy point of entry stakeholder regulatory prioritize interpersonal MARLON WEEMS Page 2 of 3 coordination qualification line of business business leader Managing PartnerSaratoga Capital 2002 2004Founding partner, responsible for the management and supervision of firm. Developed and NOTESimplemented sales and marketing strategy for the firm. Supervised and marketed firm s proprietaryquantitative trading strategies to institutional clients. Responsibility for oversight of FINR compliance. Regulatory reporting requirements, including OATS reporting and Anti-Money Laundering Preparation and implementation of firm written supervisory procedures Oversight of all regulatory reviews and examinations Implementation of all new regulatory initiatives e d u c a t i o n, c e r t i f i c a t i o n s a n d a f f i l i a t i o n s Attended University of Arkansas FINRA Series 7, 24, 52, 53, 55, 63 and 65 certifications Securities Traders Association of New York (STANY) National Association of Securities Professionals (NASP) t e c h n i c a l s k i l l s Trading Systems Implementation Trading Analytics Microsoft Office Suite InfoReach ITG Triton Bloomberg SSEOMS Fidessa Salesforce.com Algorithmic Trading Suites c o n t a c t 201-***-**** *******@*****.*** www.linkedin.com/in/marlonweems/ MARLON WEEMS Page 3 of 3