STEVEN I. TRAUM

C: 516-***-****

ace2bb@r.postjobfree.com www.linkedin.com/in/stevetraum

SUMMARY

A top performing investment professional with significant experience

managing multi-billion dollar portfolios of money market and inflation-

linked securities with an excellent performance track record as measured by

Morningstar, Lipper and iMoneyNet. Managed a professional staff of

portfolio managers/traders and presented strategies and results to clients,

senior management and the Board of Trustees.

PROFESSIONAL EXPERIENCE

AMERICAN INVESTMENT PLANNERS, LLC, Jericho, NY October, 2013-Present

Registered Representative

Establish and implement financial plans for clients by recommending

investment strategies for retirement savings including life insurance.

Attracted new accounts and turned orphaned accounts productive and

profitable. Expert in fixed income products/markets and often present to

current and potential clients about new and changing opportunities.

RAFFERTY CAPITAL MARKETS, LLC, Garden City, NY 2010-Dec, 2012

U.S. Treasury Broker

Execute U.S. Treasury (nominal & inflation-linked) purchases and sales for

primary dealers. Provide back up for U.S. Treasury broker associates on

the desk as well as keep primary dealers up-to-date on executions.

Cultivate new relationships with primary dealers that resulted in

additional business for the firm.

WILLIAMS CAPITAL MANAGEMENT LLC, New York, NY 2009-2010

Senior Portfolio Manager

Lead portfolio manager for the Williams Capital Treasury Inflation

Protected Fund. Wrote the prospectus and statement of additional

information (SAI) for the Williams Capital Treasury Inflation Protected

Fund.

. Educated and presented to prospective institutional clients the merits of

investing in either the Williams Capital Treasury Inflation Protected

Fund or a separately managed account invested in U.S. Treasury Inflation-

Linked Securities.

. Assisted other portfolio manager in managing $2.1 Billion in U.S.

Government money market securities for the Williams Capital Government

Money Market Fund and a separately managed money market account.

Recommended various strategies to employ managing both the money market

fund and the separate account. Wrote weekly economic commentary to

clients invested in the money market fund.

. Active member of Williams Capital Management Policy and Credit Committee.

TIAA-CREF, New York, NY 1983-2008

Managing Director - Inflation-Linked Bonds 2006-2008

Managed a pension account and a mutual fund of inflation-linked securities

totaling $7.5 billion. Morningstar ranked the Pension Fund and Mutual Fund

4 stars with consistency through July 2008.

. Prevented losses and negative publicity by strongly recommending to

senior management that certain asset classes, such as subprime, auction

rate preferred securities, and certain asset-backed securities be avoided

in managing both inflation-linked account/mutual fund, along with 2a-7

money market funds and cash components of fixed income and equity funds.

. Successful in presenting to potential clients who inquired about

investing in the TIAA-CREF Institutional Inflation-Linked Bond Mutual

Fund.

. Utilized experience to assist Money Market Directors with investing in

money market securities for 2a-7 money market funds and cash components

of other TIAA-CREF fixed income and equity accounts/mutual funds totaling

$20 billion.

. Achieved $20 million portfolio gain within a six-month period by

performing and recommending a $250 million investment in inflation-linked

securities for a fixed annuity account.

Managing Director - Inflation-Linked Bonds and Money Markets 1998-2006

Promoted and given increased breadth of responsibility, including

supervisory.

STEVEN I. TRAUM ace2bb@r.postjobfree.com PAGE TWO

TIAA-CREF (cont'd)

Director Portfolio Management/Assistant Vice President/Investment

Officer/Assistant Investment Officer

Senior Trader/Trader 1983-1998

Educated participants/shareholders as to how inflation-linked securities

operate and perform in different interest rate environments. Presented

quarterly investment strategy and performance presentations to the CREF

Trustees (Investment Committee) for the CREF Inflation-Linked Bond Account,

TIAA-CREF Institutional Inflation-Linked Bond Mutual Fund, and four 2a-7

money market funds. Presented monthly investment strategy and performance

presentations to the Vice Chairman and senior management. Managed TIAA's

securities lending operation and staff with annual earnings averaging $7 to

$10 million per year with emphasis investing solely in high quality money

market securities. Negotiated all securities lending contracts with

broker/dealers.

. Designated senior committee member for the creation of the CREF Inflation-

Linked Bond Account (1997) and TIAA-CREF Institutional Inflation-Linked

Bond Mutual Fund (2002). Unilaterally appointed sole portfolio manager.

Combined portfolios exceeded $7.5 billion.

. Selected as lead portfolio manager for all four TIAA-CREF money market

funds and cash components of other TIAA-CREF variable annuity and mutual

funds.

. Retail money market fund was constantly ranked in the top 10 to 20 of all

money market funds each year.

. Frequently contacted by the U.S Treasury Department regarding questions

related to inflation-linked or money market securities.

. Quoted frequently in periodicals on inflation-linked and money market

securities. Spoke at Harvard and Columbia Business Schools on inflation-

linked securities. Presented at seminars across the country regarding

inflation-linked and money market subjects. Interviewed on public radio

discussing inflation-linked securities.

. Successfully recommended and implemented TIAA's lending of mortgage-

backed securities to broker/dealers.

BANK LEUMI, New York, NY 1980-1983

Securities Trader

Traded fixed income, equities and commodities for personal trust,

investment management and pension clients.

EDUCATION

BA - Economics, State University of New York at Stony Brook, Stony Brook,

NY

Executive Program - Kellogg Graduate School of Management, Northwestern

University - Credit Analysis and Financial Reporting

PROFESSIONAL DEVELOPMENT

Certified Financial Planner (expected completion 2015)

CIVIC INVOLVEMENT

. Member of Dean's Council School of Arts & Science - Stony Brook

. Board Member Bellmore Elementary School

. Little League Coach

LICENSES

FINRA Series 7, 63 & 65

New York Life, Accident, Health Insurance, Variable Life/Variable Annuities

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