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Dan
Sullivan
Principal - Institutional Trading
(610) 688-7165
Mr.
Sullivan joined the firm in 2006 to lead the Institutional Equity
Trade Desk. He has 17 years of trading experience. In his role as
head trader for Pointe Capital's Institutional Trading Desk, Dan
oversees all aspects of equity trading, including execution
strategies, quantitative modeling and trade reporting. In addition
to leading the Trade Desk, Mr. Sullivan also serves as the Branch
Manager of Pointe Capital's Wayne, Pennsylvania office. Prior to
joining Pointe Capital, Dan served as President of Navillus
Securities, a Philadelphia-area based trading firm he founded in
1992. He oversaw 60 - 70 traders who traded 10 - 20 million shares
a day and was responsible for the firm's institutional equity
trading, equity execution strategies, quantitative, statistical,
arbitrage, merger arbitrage, and VWAP volume participation. From
1989 - 1991 Mr. Sullivan served as a market maker for Shonfeld
Securities. Mr. Sullivan holds the following licenses: Series 7,
24, 55, and 63. He has two children and enjoys participating and
coaching sports.
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Gardner
R. S. Walling
Director - Institutional Trading
(610) 688-7165
Mr.
Walling is responsible for institutional trading accounts and
relationship management at Pointe Capital. Gardner joined Pointe
Capital in 2006 to lead the institutional client services and
business development functions. He has nineteen years of project
development experience in heavy industry combined with a wealth of
contacts in large US corporations and asset managers. He has been
closely associated with the asset management business throughout
his career through his personal, industry and family relationships.
Mr. Walling worked fifteen years in the marine industry with
Express Marine, Inc. He served as VP for Operations in which he
managed a fleet of over 35 vessels and 120 employees, oversaw Union
negotiations, and was responsible for relationship development and
management with East coast utilities. Prior to joining Pointe
Capital, Mr. Walling was the Director of Institutional Trading for
Great Eastern Securities, Inc. and served as President and Director
of Business Development at Orion Financial, LLC, a
Philadelphia-area based trading firm, which he founded. Gardner
received his Bachelor's degree from Denison University and an
Executive MBA of Finance from Temple University Fox School of
Business with highest honors. He holds the Series 7 and 63
licenses. Gardner has four children with whom he enjoys playing and
coaching sports.
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Randy L. Miles
First Vice President - Institutional Sales
(866) 364-7996 - Toll-free
(512) 260-1725 - Direct
(512) 260-1728 - Fax
Randy
has over 25 years experience within the financial services industry
with specific expertise working with the defined benefit arena.
Randy works directly with several Teacher Retirement Systems,
Public Employees' Systems, Corporations and many of the largest
investment advisory firms that manage assets worldwide. Pointe
Capital provides the highest quality trade execution available in
the industry through our internal trading desk. Randy is a member
of the National Council on Teacher Retirement, National Association
of State Retirement Administrators, Southern Conference on Teacher
Retirement and the Pennsylvania Association of Public Employee
Retirement Systems. Mr. Miles holds the Series 7, 24 and 63
licenses and serves as the Branch Manager for the Austin, Texas
office.
Randy
enjoys time spent with his wife Diann, his 2 children and 4
grandchildren. He enjoys gourmet cooking and golf.
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David Kanen
First Vice President - Institutional Sales
(631) 863-3100
David
Kanen has been in the financial services industry since 1988. He
has received numerous commendations as a financial advisor. In his
first year in the industry, he was the "Corporate Rookie of the
Year". While at A.G. Edwards & Sons, Inc. from 1992-2004, Mr.
Kanen was a member of the prestigious Chairman's Council. He is
unique in that he services institutional and private clients.
David is happily married and has three children. In his spare time
he goes fishing on his boat, and gives back to his
community.
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