Sales Marketing

THOMAS VAN BUSKIRK, CFA

E: ********@*****.***, M: 201-***-****, Ridgewood, NJ 07450

http://www.linkedin.com/in/tvanbuskirk/

FINANCIAL ANALYSIS, SECURITIES RESEARCH, SALES AND TRADING

ACCOMPLISHMENTS

. Proven success developing client relationships. Approximately $1 million

gross production in first 12 months at Cowen & Co.

. Strong track record of buy recommendations. Won a major institutional

investor's 2013 research vote for metals industry coverage.

. Proven ability to drive corporate access, recruiting C-level managers for

over a dozen non-deal roadshows and conference presentations.

. Headed research at boutique broker-dealer and hedge fund.

. Winner (with team) of Institutional Investor "Best of the Boutiques"

award for convertibles research.

. Part of management team that generated consistent alpha in 2008.

. Combined sound credit work, market sense, and discipline to avoid severe

portfolio losses during financial crisis, positioning funds well heading

into 2009.

PROFESSIONAL EXPERIENCE

Sidoti & Co. LLC, New York, NY, March 2012 to May 2014

Equity Research Analyst

. Published equity research for institutional customers. Initiated coverage

of small-cap companies in the industrial metals sector.

. Created thorough written research with in-depth reports and timely

periodic research notes, including financial projections.

. Built relationships with institutional investors and C-level management.

. Provided key accounts with corporate access; arranged non-deal roadshows

and conference presentations with top managers.

Maxim Group LLC, New York, NY, November 2011 to February 2012

Director, Convertible Sales

Cowen & Co., New York, NY, August 2010 to October 2011

Vice President, Convertible Sales

Sterne, Agee & Leach Inc., New York, NY, August 2009 to July 2010

Senior Vice President, Convertibles

. Convertible sales to institutional investors.

. Desk analyst providing trade ideas, credit spreads and analysis of new

issues.

. Wrote daily trading commentary, new issue opinions, and ad hoc research

for client,

. Worked with sales force to develop cross-sell opportunities.

McMahan Securities Co. LP, Greenwich, CT, May 2002 to May 2009

Head of Convertible Research and Senior Trader, Argent Funds

. Co-managed convertible arbitrage and high yield funds.

. Structured and executed trade ideas through credit analysis and equity

research; screened universe, analyzed new issues.

. Maintained contact with sell side analysts and portfolio companies.

. Participated in marketing presentations. Wrote investor commentary.

Director of Research, McMahan Securities

. Managed team of three analysts publishing credit reviews, actionable

ideas, event-driven research notes, and ad-hoc theme pieces.

. Covered technology, financials, retail, energy and broadcasting

companies.

. Developed client relationships through client visits and dinners.

Troy Asset Management, Greenwich, CT, September 2001 to February 2002

Portfolio Manager

. Constructed and managed risk arb portfolio. Aided in fund marketing.

Silverado Capital Management, Saddle Brook, NJ, May 1997 to Sept. 2001

Director of Research

. Managed all research for market-neutral fund specializing in merger and

convertible arbitrage; generated trade ideas. Heavily involved in

marketing.

Union Bank of Switzerland, New York, NY, March 1995 to February 1997

Assistant Vice President, Fixed Income

American International Group, New York, NY, February 1993 to March 1995

International Credit Specialist, AIG Investment Corp.

Merrill Lynch, Princeton, NJ, April 1991 to February 1993

Senior Research Analyst, Unit Investment Trusts

EDUCATION

Baruch College, New York, BBA in Finance & Investments.

Attended NYU Stern School of Business

Series 7, 63, 24, 55, 87, Chartered Financial Analyst (CFA)

Core competencies: Product expertise in equities, investment-grade and

high-yield corporate bonds, convertibles, and options; fundamental equity

analysis, credit analysis, market-neutral and event-driven strategies;

portfolio hedging and risk analysis; performance measurement; marketing,

and sales. Superior writing and presentation skills. CFA; fully licensed.

Contact this candidate