Business Development Financial Services

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Theron K. Picketts **** N. Marine Drive, #14K

Chicago, IL 60613 773-***-****

ad5pfh@r.postjobfree.com

ad5pfh@r.postjobfree.com

linkedin.com/in/061961

SENIOR VICE PRESIDENT/MANAGING DIRECTOR

Directing all aspects of business development and institutional client relationship management with a keen focus on meeting and exceeding organizational objectives Skills & Endorsements:

• Asset Management

• Best Practices

• Business Development

• Business Plans

• Capital Markets & Fixed income,

• Client Relationship Management

• Complex Problem Resolution

• Financial Services:

Wealth Management; Brokerage;

Operations; Budgeting; and Expense Control

• Instrumentation

• Lazarus

• Liaison

• Management Consulting

• Marketing

• Operation Management

• Organizational Development

• Pension plans

• Performance Optimization

• Processes Improvement

• Project Management

• Public Policy

• Quality Assurance & Control

• Risk Assessment & Mitigation

• Strategic Planning & Execution

• Team Building & Leadership

• Trading

• Training & Development

Career Experience

EMERGE CAPITAL MANAGEMENT, Chicago, IL

A Buffalo, NY-based minority financial services firm DIRECTOR, US-Midwest Investment Management Services (2020- present) Major Responsibilities:

• Implementing best practices to consult and promote the Manager of Managers (MoM) platform focused on institutional woman-owned asset management firms to increase awareness, exposure, and AUM by introducing to the public, endowment, and Taft-Hartley (pension) retirement plans (ETFs and SMAs)

• Creating and delivering training sessions for staff to augment overall productivity and efficacy

• Conducting meetings with staff and executive management for complex issues identification and resolution: Coordinating and hosting advisor webinars

• Inputting in the design of marketing materials

• Identifying and soliciting SMA sales for Sandhill Investment Management and Ark Invest through six major US advisory firms. utilizing my vast network for major consultant firms’ introductions Key Accomplishments,

Theron K. Picketts Page 2

• Exceeded targeted goals by devising and executing marketing and servicing strategies for growth asset management firms.

• Successfully originated the firm’s Midwest region and substantially increased commission revenue. DENALI ADVISORS, LLC, Chicago, IL, and San Diego, CA A San Diego, CA-based minority firm with a distinct Network Value Model for all strategies SENIOR VICE PRESIDENT, Marketing and Business Development (2016 – 2018) Major Responsibilities:

• Devising and implementing best practices to expand marketing and business development efforts with a keen focus on increasing visibility, exposure, and AUM

• Developing strategic business plans in coordination with the CEO, CIO, and investment partners to employ successful growth markets within Denali Advisors’ investment products

• Exposing the firm to un-chartered prospects, including public funds (Executive Directors and CIOs), asset management consulting firms (CEOs and Executive Management), and endowment funds Key Accomplishments:

• Promoted the firm’s value, performance, and integrity among the public, corporate, and Taft-Hartley pension plans by rolling-out appropriate initiatives.

• Attained direct allocations totaling $55M within the first twelve-month period of the marketing cycle by establishing and maintaining public pension fund relationships.

• Provided communication services as a national board member of N.A.S.P and represented the firm locally and nationally

TOPEKA CAPITAL MARKETS, Chicago, IL and New York, NY A unique and pioneering equity fundamental research and brokerage firm headquartered in New York and six regional offices throughout the United States

SENIOR VICE PRESIDENT Public Pension Plans (2014 – 2016) Major Responsibilities:

• Providing proactive support, leadership, and guidance to the cross-functional team for the management of overall operations

• Establishing Mid-West presence among institutional investors, public pension plans, and public fund investment consultants by leading directing, and communicating overall operations strategy

• Participating in national and local industry conferences, seminars, and legislative meetings to represent Topeka

• Directing the development of marketing and sales budgets required to increase the presence of the firm in the Midwest and Southwest regions

• Creating a separate quantitative trading desk to trade dark pool algorithms for index managers Key Accomplishments:

• Significantly increased new and existing client commissions by creating and executing specific initiatives.

• Steered research to project revenue goals and increased projections by bringing in new business.

• Significantly increased market share with both majority and minority firms CABRERA CAPITAL MARKETS, LLC is a minority broker/dealer, and capital markets firm SENIOR VICE PRESIDENT, Equity Sales (2007 – 2014)

Major Responsibilities:

Administering and controlling specific organizational growth initiatives for the trading department; delivering decisional leadership on all trading desk upgrades and implementation enhancements; disseminating data and executing communication campaigns to internal and external stakeholders; attending national and local industry conferences and seminars to present the firm.

Key Accomplishments:

• Functioned as a firm’s executive liaison for pension board proceedings and legislative meetings.

• Increased 20% commission revenue by formulating an equity growth service plan instrumentation.

• Initiated and directed ongoing market activities, producing annual sales of $5M within the firm’s commission revenue.

• Enhanced 25% client base by developing strategic firm initiatives in liaison with C-Suite leadership. Additional Experience:

Senior Vice President Equity Sales Trading /Melvin Securities, LLC, Chicago, IL Vice President Equity Sales Trading/Bear Stearns & Co, Inc, Chicago, IL Education & Credentials

Master of Business Administration Management

Loyola University, Chicago, IL 2017 - 2019

Bachelors - BA/BS in Public Administration/ Public Policy and Sociology Drake University, Des Moines, IA

Professional Certifications

FINRA: Series 7; Series 63; Series 5& (55); and Series 65 Professional Leadership (National Securities Association of Securities Professionals)

• Board of Directors 2011-2017

• Chicago Chapter Vice President 2010-2016

• Plan Sponsor Outreach National Co-Chair 2010-2011

• Served continually on Sponsorship, Plan sponsor Outreach; and Professional Development committees to promote the association’s objectives to promote the inclusion of women and minorities within financial services

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Community Leadership

Hearts Foundation 1998 – 2002: Raised significant funds (annually) for local AIDS organizations including Open Hand, TPAN, LAMBDA Legal Association, and Howard Brown Center Global Leadership

• The Imperial Order of Ethiopia: Knight Star Lion 2018 Dedicated distribution of charitable outreach and world citizen relief initiatives

• Royal House of Savoy (Order of St. Maurice and St, Lazarus) 2018 Local, national, and international philanthropic lifetime commitment

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