ROBERT STEPHENSON

Scituate, MA ***** 971-***-**** ac8pgj@r.postjobfree.com

FINANCIAL SERVICES PROFESSIONAL

Mutual Fund & ETF Sales Equity Trading Risk Management Mutual Fund Reporting Compliance 20+ years of leadership experience as a Senior Trader for Columbia Management’s Mutual Funds and Institutional Accounts representing $200+ billion dollars in equity. Specializes in Large, Mid and Small Cap Equity Trading in US Markets with expertise in Options and FX Trading. Leads IPO & Syndicate Management for all of Columbia Management. Monitors market conditions, quickly assesses technical data and macro-conditions, and makes profitable investment decisions. Excellent communication, judgement and decision making skills. Collaborates with extensive network of Wall Street contacts and financial experts to locate key data and determine an opportunity’s viability, risk, and rank. Adept at building consensus with buy and sell-side firms. Manages multiple projects in fast- paced, changing environments. Demonstrated success maximizing ROI and growing profitable portfolios. AREAS OF EXPERIENCE & TECHNICAL SKILLS

Mid and Small Cap Equity Trading IPO / Secondary Offerings Stocks, Bonds, Futures Compliance Domestic & International Equity Very Large Securities Orders Exchange Traded Fund (ETF) Sales Electronic Trading Systems Mutual Fund Reporting Risk Analysis & Management Policies & Procedures Problem Solving Research & Analysis Financial Modeling Longview Charles River Bloomberg O’Neil Panaray Microsoft Office (Word, Excel) PROFESSIONAL EXPERIENCE

COLUMBIA THREADNEEDLE INVESTMENTS, Boston, MA 1998 – Present Formerly Columbia Funds, Columbia Threadneedle Investments is a leading global asset management company. MANAGING SENIOR EQUITY TRADER – US MARKETS / MANAGER, EQUITY CAPITAL MARKETS (2010 – Present) Directs the development and implementation of the IPO management processes for the Columbia Funds. Specializes in large, mid and small cap equity trading for US markets with an emphasis on options, FX trading, and ‘high touch’ trades. Collaborates with heads of Equity Capital Markets on IPO’s and VC transactions; as well as with heads of Equity Trading, Wall Street Analysts and financial sector specialists, to identify stock movements, trading timing, and trends. Detail oriented with advanced problem-solving skills. Advises traders and portfolio managers using data from extensive investment and financial research.

Moves Columbia Funds from a mid-pack player in Equity Syndicate to top tier player

Cultivates relationships with heads of Equity Capital Markets (ECM) departments at Wall Street brokerages

Rapidly sizes-up a prospective IPO for potential performance

Executes 20+ high touch trades per day; 2-3 million shares traded on average daily

Frequently trades large blocks of small-cap and mid-cap stocks and securities

Accesses undisplayed marketplace liquidity; a technical metric not readily seen or practiced by most traders

Collaborates with portfolio managers to capture market opportunities and improve portfolio performance

Closely tracks Venture Capitalist efforts to monetize equity positions in stocks

Manages basket trading program for small caps managers

Trains and coaches Junior Traders in U.S. equities market ROBERT STEPHENSON

971-***-**** ac8pgj@r.postjobfree.com Page 2

SENIOR EQUITY TRADER – EUROPEAN MARKET (2008 – 2010) Traded large blocks in large, mid and small cap equity trading in the European and US markets. Accessed liquidity opportunities in the marketplace and considered an expert in ‘high touch’ trades. Handpicked as Manager, Equity Capital Markets to develop and execute the IPO management process for the Columbia Funds. Directed portfolio managers through IPO process with insight to ensure company optimized deal opportunities presented in the marketplace. Cultivated strong industry network and alliances of financial experts to obtain investment intelligence. Observed the stock market, quickly assessed information and made profitable decisions. Worked collaboratively in a team environment. Provided Portfolio Managers market timing and trade timing advice.

Specialized in mid and small cap equities both internationally and domestically

Represented large institutional accounts, large pension funds, and Columbia’s mutual funds

Led IPO & Syndicate Management for Asia, Europe, and EMEA markets

Managed IPO process in the marketplace and successfully secured best stock allocations for the company

Managed basket trading programs for small, mid and large-cap managers

Trained and mentored junior traders on US equities and the Europe and EMEA markets BANK OF AMERICA, Seattle, WA 1997 – 1998

American multinational investment bank and financial services company. EQUITY TRADER

Collaborated with Portfolio Managers and Traders through IPO process to ensure company optimized investment deals. Provided research and analysis in the risk management decision-making process. Consistently monitored portfolios for opportunities to add liquidity by leveraging extensive information and precisely timing trades. Strong understanding of credit and underwriting polices and commercial and private bank lending.

Acquired extensive knowledge and experience in small and mid-cap stocks

Executed large orders using tools in Bloomberg to improve market and trade timing

Represented large institutional accounts and pension funds EDUCATION & CREDENTIALS

Education

Bachelor of Arts, Economics

University of Washington, Seattle, WA

Trading Organizations

Security Traders of Portland, Oregon, 1998-2010

Secretary (2002); Treasurer (2003); Vice President (2004) Security Traders of Seattle, Washington, 1997-1998 Certifications

Certified Financial Planner Program

Chartered Market Technician Level 1

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