Customer Experience Service

MICHAEL GAFFNEY

Arvada, CO ***** 303-***-**** *********@*****.***

linkedin.com/in/mike-gaffney-ba63ab6

SENIOR-LEVEL INVESTING & TRADING

Investment Strategies – Financial Markets – Cost Analyses Senior leader experienced in applying economic acumen to financial markets, utilizing market conditions, trends, and transaction cost analyses to develop trading and investing strategies. Skilled in expanding client bases by initiating new contacts and providing effective advice to clients. Proven ability to build and lead a solid team of traders, while managing high-pressure situations and exponential growth. Currently holder of FINRA Series 7, 9, 24, 55, 63 and T5 Security Clearance. CORE COMPETENCIES

● Investment Advice

● Market Analysis

● Client Retention

● Regulatory Compliance

● Compliance

● Team Leadership

● Office Operations

● Business Development

● Quantitative Research

● Trend Analysis

● Trading Strategies

● Client Relationships

Technology: Google Suite, Microsoft Office, Axys/Moxy, Bloomberg, Bridge, Charles River, Liquidnet, Realtick, Schwab, LPL Enhanced Trading and Rebalancing tool, Redtail, Fidelity, Fieldwork system, and PIPS US government system EXPERIENCE

AshBritt Inc., Deerfield Beach, FL Oct 2024 – Present Project Manager

Lead field-based disaster recovery operations, managing crews, resources, and stakeholder communication to ensure safe, timely, and compliant project execution across high-impact environments.

● Oversaw disaster recovery projects in Taylor County, Florida managing several crews from planning through completion, including debris removal, demolition, and property remediation, resulting in the removal of over 180,000 cubic yards of debris while ensuring adherence to state and federal regulations.

● Conducted field assessments and scope definition in conjunction with the United States Army Corps of Engineers to establish clear project timelines, resource requirements, and operational objectives.

● Lead 6 crews on-site in Mitchell County, North Carolina coordinating logistics, equipment, and personnel to maintain workflow efficiency resulting in the removal of over 200,000 yards of waterway debris .

● Monitored project milestones and generated progress reports for clients and stakeholders, maintaining transparency and accountability throughout the recovery process.

● Identified potential risks and implemented mitigation strategies conducting daily safety meetings to maintain project integrity. Peraton, Loveland, CO (Remote)June 2024 – Oct 2024 Background Investigator

Conducted personnel security investigations in alignment with Tier 5 (T5) Federal Investigative Standards to determine individuals’ eligibility for access to classified or sensitive U.S. government information.

● Interviewed subjects and associated contacts (e.g., neighbors, employers, family) and conduct in-person investigations to assess suitability.

● Retrieved, reviewed, and analyzed records from law enforcement, courts, educational institutions, financial entities, and medical facilities.

● Prepared clear, objective, and comprehensive reports for adjudication using secure, government-issued systems.

● Managed multiple investigations simultaneously while meeting strict federal deadlines and confidentiality requirements.

● Ensured full compliance with investigative protocols, maintained meticulous documentation and adapted to evolving standards and procedures.

Western Wealth Management, Golden, CO 2021 – 2024

Institutional Business Development Manager

Led institutional growth initiatives and strategic investment efforts at a firm supporting 140+ independent advisors managing over $6B in assets.

● Identified, engaged, and cultivated relationships with college endowments, private offices, and high-net-worth individuals to generate new institutional business and drive revenue growth.

● Key member of the investment committee responsible for designing and managing 15 objective-aligned investment models, contributing to firm-wide portfolio strategy and product differentiation.

● Executed trading and portfolio rebalancing strategies across Schwab, LPL, and Fidelity platforms to optimize performance and support advisor execution needs.

● Partnered with compliance to conduct field audits and ensure adherence to evolving regulatory requirements, reinforcing trust with institutional clients.

● Provided ongoing strategic and operational support to the advisor network, delivering insights and resources that enhanced client acquisition, retention, and overall satisfaction. Ferretti Group Inc, Denver, CO 2011 – 2021

Director / Branch Manager

Led a high-performing trading branch focused on institutional equity execution, client development, and strategic market guidance, with a specialization in high-volume small- to mid-cap equities.

● Executed over 15 million shares annually, driving a 30% increase in commissions through high-efficiency trading strategies in small and mid-cap markets.

● Delivered pre- and post-trade analysis with a focus on transaction cost optimization and execution performance.

● Monitored real-time market activity and macroeconomic events to provide actionable insights and strategy adjustments to institutional clients.

● Built and expanded a robust client book by initiating new relationships and maintaining long-term partnerships through personalized service and trusted execution.

● Acted as a key advisor on trading strategies, contributing to client portfolio performance and firm growth. WJB CAPITAL GROUP, Denver, CO 2009 – 2011

Equity Sales Trader and Office Manager

Managed trading operations, client relationships, and office leadership while delivering strategic market insights and driving revenue growth in a fast-paced equity sales environment.

● Generated over $1.6 million in revenue by delivering high-impact trading ideas, real-time market commentary, and tailored investment strategies to institutional clients.

● Oversaw accounts nationwide, producing data-driven evaluations and reports that supported informed client decision-making.

● Directed daily operations and a high-performing team, ensuring seamless execution and compliance with industry regulations.

● Collaborated closely with the New York sales office to establish and grow new client accounts while strengthening existing relationships.

● Increased local market presence by 40%, boosting brand visibility and expanding the firm’s client footprint in the region. ICON ADVISERS, INC., Greenwood Village, CO 1999 – 2009 Head Trader

Built and led a trading desk from the ground up, overseeing execution for a broad portfolio of mutual funds and institutional accounts during a period of rapid AUM growth and market volatility.

● Joined as the sole trader and established a team of four, managing trading operations for 14 domestic and 3 international mutual funds, plus institutional and high-net-worth accounts.

● Oversaw firm-wide trading during a period of explosive growth, scaling operations as assets under management increased from $275M to over $5B.

● Achieved soft dollar execution while maintaining commissions below industry standards, optimizing cost-efficiency and brokerage relationships.

● Enhanced execution quality in volatile markets by leveraging alternative trading systems (ATS) and electronic communication networks (ECNs).

● Partnered with the covered call portfolio manager to develop and implement innovative trading strategies aligned with fund objectives.

EDUCATION AND CREDENTIALS

Creighton University, Omaha, NE

Bachelor of Science in Business Administration, Finance Licenses & Certifications

FINRA Series 7, 9, 24, 55, 63

T5 Security Clearance

Professional Associations

Former Board Member and President, Denver Security Traders Association Former Institutional Committee Member, Security Traders Association

Contact this candidate