STANY - Key Persons
Job Titles:
- Member of the OfficerS Team
- Sales Associate, Broker Dealer
Aisling McConville, is a Sales Associate, Broker Dealer Sales at StoneX Group Inc. She joined INTL FCStone Financial (now StoneX) in 2019. Prior to that, Aisling worked at Paulson Investment. She has Series 7 and 63 licenses.
Aisling is from Ireland and moved to New York 6 years ago. In her free time, she enjoys exploring NYC, catching up with friends and traveling to new places.
Job Titles:
- Member of the OfficerS Team
- Vice President
Amy Reichard joined Broadridge Financial Solution is a Vice President, N.A. Buyside Account Management in August 2020. Amy is part of the Account Management team servicing a client portfolio in excess of 250 clients including hedge funds, multi- billion long only managers, private equity, state treasurers, fund administrators, CLO/CDO managers, and prime brokers. Her product coverage includes the full suite of Broadridge Asset Management products.
Prior to joining Broadridge, Amy Reichard was a Senior Vice President at Macquarie Group focusing on Electronic Execution. In that role, Amy managed electronic client relationships and focused on sales, trading and platform marketing.
Amy has previously served on the SFSTA Board and has lead multiple Women's Leadership programs within the industry in both New York and San Francisco.
In addition, Amy has almost 30 years of industry experience with her first 14 years at GS where she specialized in small cap stock trading and equity sales trading. She has also held senior positions at BAML and Bloomberg Tradebook in both New York and San Francisco and holds her MBA from NYU Stern and her Series 7, 55, and 63.
Job Titles:
- 2nd Vice President
- Member of the OfficerS Team
- Second Vice President
- Director of Sales & Institutional Relationship
Bill Cody is a Director of Sales & Institutional Relationship Management at Cboe Global Markets. Bill previously developed and led the institutional outreach program at Direct Edge before its 2014 transaction with Bats. Prior to Direct Edge, Bill served as Executive Director at broker-dealer Instinet, where he held a number of key positions since joining in 1999. His roles there included being Head of the Broker-Dealer Sales and Trading desk, as well as its dark pools. During his 13-year tenure at Instinet, Bill also worked as Vice President of Institutional Equity Trading and as a product and sales manager. He has over 20 years' experience in the equities markets.
Job Titles:
- 1st Vice President
- First Vice President
- Member of the OfficerS Team
- Executive Director of Broker Dealer Sales & Trading at Instinet
Brian Cashin is an Executive Director of Broker Dealer Sales & Trading at Instinet, LLC. In this role, he is responsible for sell-side execution management & crossing capabilities.During his 12-year tenure at Instinet, Brian has held roles in Institutional & Derivative Sales, where his responsibilities included new account sales & client coverage. He has 20 years' experience in the equities markets. Prior to Instinet, Brian spent 3 years at INET ATS where he held various roles and key positions in the Broker Dealer space. Brian also worked as an Account Relationship Manager at the BRUT ECN & on the NYSE as a floor clerk for Prudential Securities.
Brian earned his B.A. in Political Science from Boston College and holds the Series 7,63, 25, 55, 3, 4, and 24 licenses.
Job Titles:
- Member of the OfficerS Team
- Secretary
- Treasurer
Job Titles:
- CEO
- CoFounder
- Member of the OfficerS Team
- Treasurer
David Weisberger, CoFounder and CEO of CoinRoutes, has over 30 years of experience in market structure, quantitative finance, and trading automation. He built the first trading program and electronic systems for Morgan Stanley, was global architect of Salomon Brothers' equity trading platform. Dave then developed Two Sigma's wholesale market making business and most recently was the global head of equity market structure for IHS Markit.
Job Titles:
- Member of the OfficerS Team
- President
- Senior Director of ICE
James Hyde is a Senior Director of ICE - Head of Business Development for NYSE Options which includes the NYSE American (aka Amex) and Arca platforms. He currently serves on the STANY Board as President. Mr. Hyde is also a Governor and Secretary-elect on the STA Board. Previously, he served as the Chairman of the STA Listed Options Committee (LOC).
Mr. Hyde is the former Vice Chairman of the American Stock Exchange Board and Senior Supervisory Officer on the Trading Floor. As a Floor Governor, he chaired numerous Exchange operating committees and was appointed as Chairman of the Amex Technology Committee. Prior to the closing of the NYSE Euronext/Amex transaction, he was asked to serve as liaison among NYSE Euronext senior staff and the Amex constituencies. Concurrently, he was also a Registered Options Trader for AGS Specialists LLC (Aka Integral Derivatives LLC). Prior to trading for AGS/ID Specialists, he was a Senior Managing Director and head of Option trading for Kellogg Capital Group, L.L.C. He was instrumental in launching Kellogg into the Option, ETF and broker business, through acquisitions of Knight Securities, Spear Leads and Kellogg Index products, the Fogel Group, and the Van Der Moolen Company. Additionally, he is co-founder of TAHOE Trading LLC and TAHOE Technologies, a proprietary analytical software platform utilized in the market today. Also, in 2005 he negotiated and closed the transaction transferring control of the American Stock Exchange back to the members from NASDAQ.
Mr. Hyde received his B.A. from St. John's University.
Job Titles:
- Member of the OfficerS Team
Jeff Cooper has over seventeen years of experience in the securities industry. From November 2010 to 2018, Jeff was a Director of Institutional Sales for FIS's Brokerage unit In New York. Specializing in solutions to the buy side community, Jeff's focus includes electronic order routing/FIX Network, execution both high touch and low touch algorithmic capabilities as well as data and software. Prior to joining FIS, Jeff worked at Tradeweb, a Thomson Reuters affiliate and Thomson Reuters for five years and specialized in the Autex platform to provide block liquidity and connectivity to both the buy and sell side communities. Jeff spent approximately thirteen years as a position trader and NASDAQ market maker; eight of those years were spent at Schwab Capital Markets in Jersey City, NJ. He currently holds his Series 7 and 63 securities licenses.Jeff has served on the STANY Board of Directors since August 2010 and has served on several committees in addition to his board duties.Jeff received his BS in Finance and Economics from Fairleigh Dickinson University and an MBA from Baruch College's Zicklin School of Business, the City University of New York.Jeff lives in Morganville, NJ with his wife and two children.
Job Titles:
- Member of the OfficerS Team
- OTC Markets Group
Jeff Mendl is responsible for broker-dealer sales and new business development related to Trading Services, OTC Link ATS and OTC Link ECN. Jeff has extensive experience in the equities markets and trading applications, leveraging his prior role at Delaware Board of Trade (DBOT) where he oversaw strategy and business development including new account sales & client on-boarding. Prior to DBOT, Jeff held numerous positions within the financial services industry, including key client management roles at the National Stock Exchange and Clearpool Execution Services. Elected in 2018, Jeff currently serves on the Board of Directors for the Securities Trader Association of New York (STANY).
Jeff earned his B.S. in Economics from Syracuse University and holds the following Series 7, 24, 63 licenses. In his spare time, he enjoys golfing, snowmobiling, skiing and boating.
Job Titles:
- Founder of Aplomb Strategies
Joanna Fields is the founder of Aplomb Strategies, a regulatory development and consulting firm that identifies global market structure, cybersecurity and enterprise risk management trends to develop future proof solutions for clients.
Ms. Fields has almost 20 years of global regulatory and market structure experience spanning stocks, options, OTC derivatives, total return swaps, interest rate swaps, credit default swaps, forwards and futures products.
Prior to founding Aplomb Strategies, Joanna was the Head of Equities Market Structure for the Americas and Global Derivative Market Structure for Deutsche Bank Securities Inc. (DBSI). In this role, Joanna managed the equity divisions strategic investment portfolio, discussed holistic trends in regulation and market structure directly with clients, and assisted with the product development of the firm's global dark pools, trading algorithms, and FPGA tools.
Joanna was the Compliance Registered Options Principal and Derivatives Compliance Advisor for both DBSI and Credit Suisse First Boston. She also worked in Market Regulation for both the International Securities Exchange (ISE) and Chicago Board Options Exchange (CBOE). Joanna began her career in 10b-5 securities and anti-trust economic litigation consulting for Lexecon, Inc.
Currently Ms. Fields' industry affiliations include: Securities Industry and Financial Markets Association (SIFMA), Securities Traders Association (STA) where she was recently appointed the head of the Consolidated Audit Trail Committee for listed derivatives, and STA Women in Finance (WIF). She is on the Board of Women in Listed Derivatives, Security Traders Association of New York, and LaunchTalk's Innovative Markets Power Circle for Fintech companies. Joanna serves as an advisor or in an advisory board member capacity to a number of regulatory technology and Artificial Intelligence (AI) driven start up organizations.
Ms. Fields holds a B.A. in art history and chemistry from Barnard College, Columbia University, and an M.S. in business and technology from New York University.
Job Titles:
- Member of the OfficerS Team
- President and CEO of Global Execution Brokers
Joseph Sellitto is the President and CEO of Global Execution Brokers an affiliate of Susquehanna International Group, LLP (SIG). Joe is responsible for the execution of GEB's business plan including business development, sales and marketing of SIG's options order execution platform, including customer and exchange relationship management.
Prior to joining SIG in March of 2006, Joe spent three years as director of derivative products at E*TRADE Securities LLC, leading the development of E*TRADE's retail options and futures business. From 1982 to 2003, Joe was senior vice president at Morgan Stanley DW, Inc., where he managed options trading floor execution and risk. Joe has more than 48 years of securities industry experience including extensive experience working with the exchanges. He was a member of the CBOE from 1974 to 2003, and held memberships at the CBOT, International Monetary Market division of the CME, PHLX and NYSE/ARCA exchanges. Joe served on numerous industry committees, including CBOE's Allocation, Screen Based Trading, Financial Planning, Equity Floor Procedure, Membership, Marketing Committees, ISE's Allocation Committee, PHLX's Equity Floor Procedure Committee, and CHX's Allocation Committee. He also served on and chaired the CBOE Nominating Committee, OCC Nominating Committee, CBOE Systems Committee, CBOE Member Firm Advisory Committee and on the ISE Board of Directors, the STA Derivatives Committee and as Chairman of the SIFMA Options Committee. Joe currently serves on the MIAX Options Board of Directors.
Job Titles:
- Chief Executive Officer
- Executive Director
- Member of the OfficerS Team
Kimberly Unger has served as the Executive Director of STANY since July 1996 and as President of The STANY Foundation since 1999. In 2011, she was named Chief Executive Officer of STANY. Kim's responsibilities at STANY vary and include writing comment letters on key market structure issues, strategic and operational planning, stewardship of STANY's sponsors and members and executing all STANY events.
Prior to joining STANY, Kim worked as a litigation attorney. She began her career in private practice and worked as an associate in the litigation departments of Wilson, Elser, Moskowitz, Edelman and Dicker and Kelly Drye and Warren before moving to in-house positions within the securities industry. During the early part of her career, Kim focused on defense side product liability and general commercial litigation. She was a member of the legal departments of several Wall Street firms including Drexel Burnham Lambert; Prudential; and Gruntal & Co. Immediately prior to joining STANY, she worked as a Senior Regional Attorney and member of the management team in the NASD's District 10 office.
Kim is admitted to the New York State and Federal bars, and has held NASD Series 7 and 63 registrations. Kim received her Juris Doctor from Villanova University School of Law, cum laude, in 1983, where she served on both The Law Review and Moot Court Board, and a BS in Economics from Rosemont College, (in conjunction with the Villanova School of Commerce and Finance) cum laude, in 1980. She completed a Masters of Science degree at Villanova University School of Business in 2019. Kim is also an ordained minister, having graduated from The New Seminary in 1996. In her free time, Kim enjoys graphic design and was graduated from the Shillington School in 2014. Kim received her CAE (Certified Association Executive) designation from the ASAE in 2022.
She has served on the Wings Over Wall Street Committee of MDA since 2010 and received MDA's Michael Beier Award in 2014. Kim has been involved with fund-raising for more than 45 different charities and was honored by Traders Magazine with its Wall Street Women 2015 Charitable Works Award and by the New York Society of Association Executives (NYSAE) with its New Star Award in 2017. Kim currently serves as a Director and member of the Executive Committee of the Board of NYSAE.
Job Titles:
- Member of the OfficerS Team
- Barclays in 2020 As a Director
Lauren joined Barclays in 2020 as a Director on the US Electronic Sales team, where she specializes in identifying algo trading solutions for Buyside accounts across Equities, Options, Futures and FX. Prior to joining Barclays, Lauren spent 8 years at Bloomberg.
Job Titles:
- Director
- Member of the OfficerS Team
- ClearBridge Investments
Lisa Utasi is a Director and Senior Equity Trader at ClearBridge Investments, a leading global equity manager committed to delivering long-term results through active management with strategies focused on three primary client objectives in our areas of proven expertise: high active share, income solutions and low volatility
Personally, Lisa was elected to become the President of the Security Traders Association of NY (STANY) in 2004 and again in 2009. In 2004, Lisa was the first STANY President to open the NYSE on behalf of the organization and as an honor to its members. She is also a Past Chairman of the Security Traders Association and was the Chair or Co-Chair of the Trading Issues, Affiliate Liaison, Education and Institutional Committees.
Lisa is a Past Chair and current Member of the of the NASDAQ ITAC Committee and served on the NASDAQ Quality of Markets Committee. She participates as a member of the NYSE Institutional Traders Advisory Committee. Lisa was inducted into the National Organization of Investment Professionals (NOIP) in 2004 and served as its Chairman of the Board from 2019-2020. Lisa is a member of Inst. Investor's Trader's Forum and the Investment Company Institute's Equity Markets Committee.
Lisa holds a B.A. in Political Science and a B.B.A. in Finance from Southern Methodist University.
Lisa is extremely active in the NYC charity community. She has served as an MDA National Vice President and is a two-time Chair of MDA's Wings Over Wall Street an ALS Fund Raising Committee. She is committed to causes including the Inner-City Scholarship Fund which changes lives for the better by providing families with demonstrable financial needs the opportunity to give their children a quality, values-based K-12 Catholic education within the Archdiocese of New York. Inner-City exists to ensure that the gift of an excellent Catholic school education continues to be a viable option for students of all faiths today and for future generations to come.
Job Titles:
- CEO
- Co - Founder
- Co - Founder and CEO of S3
Mark Davies is Co-Founder and CEO of S3, a full-service compliance and trade analytics software. He is responsible for the organization's business strategy, the executive team and has oversight of the company's day-to-day operations, including client relations, sales, and business development.
A financial services executive with over 15 years experience in fintech and regtech, Mr. Davies has deep industry knowledge in trading technology, particularly trade surveillance, best execution analysis, and regulatory reporting. Currently, Mark is leading the industry on market structure and regulatory reporting requirements for the Securities and Exchange Commission's (SEC) Rule 606 under Reg NMS and is sought after for his subject matter expertise.
Mr. Davies co-founded S3 in 2001. In 2004, S3 launched its first trading analytics product, redefining S3's core business. Since then, under Mr. Davies guidance, S3 has improved trust in the industry through appropriate and intelligent disclosure via regulatory reporting and analytics.
Mr. Davies holds a Bachelor's of Science degree in Computer Science from the Massachusetts Institute of Technology (MIT). He lives in Austin, Texas with his wife and three children.
Job Titles:
- Member of the OfficerS Team
Job Titles:
- CEO / Inkies Print Shop
- Founder of Inkies
Michelle Lindenberger is the founder of Inkies, a boutique marketing agency and branded items (swag) shop with over 15 years of experience in digital and innovative marketing, brand building and restructuring, creative direction, and rolling out data-driven global and domestic marketing strategies. Michelle has held senior management roles in various financial services and fintech organizations and has a production and film background.
Prior to launching Inkies, she was Head of Marketing for the Security Traders Association (STA) and Director of Women in Finance for the STA. Prior to that; she was the Global Head of Marketing and Communications for EquiLend, an electronic trading platform and market data business in the securities finance space.
Ms. Lindenberger has a design, production, and film background. She was previously, Executive Producer and Director for the 2002 feature documentary film "Dance Culture in the Mix", which offers viewers a glimpse into the eccentric and electric South Beach nightlife scene during its peak in the late '90s. Her film was screened at several film festivals and garnered press in the U.S. and Canada.
Michelle spent her post-college years leading 28-day canoeing expeditions with adolescent youth throughout the Everglades and Suwannee River for The Hurricane Island Outward Bound School, Florida Programs, and several backpacking treks into the Grand Canyon, Sonoran Desert, and the White Mountain Wilderness along the Arizona-New Mexico border.
Michelle currently resides in Brooklyn with her husband and two children.
Job Titles:
- Managing Director
- Member of the OfficerS Team
Patricia E. Koetzner is Managing Director, Equity Sales and Trading, for Siebert, Williams, Shank & Co. LLC, a leading minority owned broker dealer. Patricia's two primary functions include; driving new revenue growth by expanding revenue generating relationships and facilitating equity trading for the firm. Her equity trading functions include: traditional long/short sales trading coverage, implementation of algorithmic strategies, share repurchases, trading and program trading. Ms. Koetzner has served in various capacities in the securities industry for now over 22 years, most recently including her role as Managing Director/Head of Equity Sales & Trading at CastleOak Securities, L.P. Prior to that, Ms. Koetzner served as vice president of Barclays Capital for seven years where she covered cash accounts and repurchased shares for corporations, before becoming a member of its electronic trading group. For the first decade of her career, she was a NASDAQ market maker for firms including Neuberger Berman, LLC, Gruntal & Co. and Dominick & Dominick, Inc. Patricia earned her Bachelor of Science degree from the University of Maine and holds FINRA series three, seven, 24, 55 and 63.
Job Titles:
- Member of the OfficerS Team
Peter Cocuzza, a veteran of Wall Street trading markets, began his career as an options strategist/ trader for PaineWebber Inc., where he traded firm capital and held educational seminars on options strategies. He was appointed to lead and oversee the startup of PaineWebber's wrap-fee trading desk in New York City. Peter and his team were responsible for executing and handling trades from over 500 asset managers across the country. Peter then joined and co-headed Equity trading for Mitchell Hutchins Inc, the buyside division of PaineWebber, where he traded for the firm's mutual funds, institutional, and pension fund accounts.
Peter joined Oppenehimerfunds Inc in 2000 where he spent 9 years as lead equity trader for the firms "Value" oriented mutual funds. He represented Oppenehimerfunds as ambassador for many of the various securities trader associations. After assisting a start -up hedge fund in Princeton, NJ, where he worked as Vice President for Stone Toro Asset Management in Princeton, NJ, he went on to join Vandham Securities, a New Jersey based Broker/Dealer as Director, Business Developments. Peter joined Global Liquidity Partners in early 2015, where he is responsible for expanding and developing senior client relationships in equities, as well as focusing his efforts on the introduction of Global 's Institutional product offering to both buy and sell side accounts. Throughout his career, Peter has served on many securities trader committees for associations such as "Trader Forum" and the "Investment Company Institute" (ICI). He has been a long time contributor to the Trade Tech Blog, where he has authored several articles on trading and the financial industry. He was proudly elected to the Board of Directors for the Securities Trader Association of New York (STANY) in 2012.
Peter received his BA in Management/Marketing from Rider University and currently resides in Jackson, New Jersey.
Job Titles:
- Member of the OfficerS Team
Job Titles:
- Member of the OfficerS Team
- Shank & Co
Patricia E. Koetzner is Managing Director, Equity Sales and Trading, for Siebert, Williams, Shank & Co. LLC, a leading minority owned broker dealer. Patricia's two primary functions include; driving new revenue growth by expanding revenue generating relationships and facilitating equity trading for the firm. Her equity trading functions include: traditional long/short sales trading coverage, implementation of algorithmic strategies, share repurchases, trading and program trading. Ms. Koetzner has served in various capacities in the securities industry for now over 22 years, most recently including her role as Managing Director/Head of Equity Sales & Trading at CastleOak Securities, L.P. Prior to that, Ms. Koetzner served as vice president of Barclays Capital for seven years where she covered cash accounts and repurchased shares for corporations, before becoming a member of its electronic trading group. For the first decade of her career, she was a NASDAQ market maker for firms including Neuberger Berman, LLC, Gruntal & Co. and Dominick & Dominick, Inc. Patricia earned her Bachelor of Science degree from the University of Maine and holds FINRA series three, seven, 24, 55 and 63.
Job Titles:
- Global Head of Sell - Side Sales
Mr. Kay leads Virtu's global broker dealer client relationship management and sales efforts and oversees sales for the firm's electronic services. Virtu uses advanced technology and transparency to deliver liquidity to the global capital markets and help clients pursue best execution in a scalable, efficient and data-driven manner.
Mr. Kay joined Knight Capital (also known as KCG Holdings, Inc.) in 2005 before it was acquired by Virtu Financial in 2017. He has over 20 years of experience in the wholesale equity market making segment and prior experience includes roles at equity market-making and NYSE specialist firms, as well as five years as an active trader.
Suzanne Shank is President, CEO and a co-founder of Siebert Williams Shank & Co., LLC, a full-service investment banking firm, consistently ranked among the most active underwriters of publicly traded equity, investment grade corporate debt and municipal debt offerings. Founded in 1996, the firm holds the distinction of being the top ranked minority- and women-owned investment banking firm in the country.
Ms. Shank began her professional career as a Design Engineer with General Dynamics, Electric Boat Division. After pursuing an MBA in Finance, she transitioned to Wall Street working at various boutique firms before founding Siebert Williams Shank in 1996.
Ms. Shank has been recognized for her leadership in the financial services industry by Crain's New York, U.S Banker Magazine, the Municipal Forum of New York, Black Enterprise, Ebony Magazine, and The Bond Buyer, among others. Shank was inducted into the Academy of Distinguished Engineering Alumni at the Georgia Institute of Technology, received the Savannah College of Art and Design Women of Vision Award, and was named one of USA Today's Women of the Century in 2020.
Ms. Shank is active in various industry and civic organizations and serves on several boards. Public company directorships include Rocket Companies and Consumers Energy. She also serves on the boards of Global Citizen, the Kresge Foundation, the Skillman Foundation, Wharton Graduate Advisory Board, Partnership for New York City, and Spelman College, among others. Ms. Shank formerly served on the board of SIFMA, the SEC's Fixed Income Market Structure Advisory Committee, the Municipal Securities Rulemaking Board and the Bipartisan Policy Center's CEO Council on Infrastructure. Ms. Shank is a member of the Council on Foreign Relations, the International Women's Forum and the Links, Incorporated.
Ms. Shank is a graduate of the Wharton School, University of Pennsylvania with a Master of Business Administration degree in Finance, and the Georgia Institute of Technology with a Bachelor of Science degree in Civil Engineering.
Job Titles:
- Member of the OfficerS Team
- President & CEO of Jordan
Tom Jordan is President & CEO of Jordan & Jordan, a financial technology company with domain expertise in information, processes and technologies applied to the securities industry. From 1985-1990, he was the Managing Director of Knight-Ridder Financial/Americas. Prior to this, he was the Chairman of Monchik-Weber, a Wall Street consulting and product development firm. He also held development and marketing positions at IBM. Tom was a co-founder of the Financial Information Forum (FIF) and the initial Chair of FISD. Prior to his business career, Tom served as an officer with the U.S. Army Corps of Engineers in the 1st Cavalry Division and the 1st Infantry Division.
Job Titles:
- Member of the OfficerS Team
- Bilkar Consulting
- Billkar Consulting
Prior to starting Billkar Consulting in 2019, Bill Karsh served as Vice President Corporate Sales at OTC Markets from 2016-2019. Prior to that he served as a special advisor to the NSX, with sales responsibility, market structure and development of strategy in cooperation with senior management. Mr. Karsh served as Chief Operating Officer of Direct Edge Exchange LLC. He originally joined Direct Edge in March 2006, serving as Chief Executive Officer while the company operated as a wholly-owned subsidiary of Knight Capital Group. Mr. Karsh has over 25 years of financial services experience, serving in senior management positions at a number of firms, including the Bass Division of BTIG, Trading Services Group, LLC, UNX Inc., Knight Trading Group, Inc., SunAmerica and National Discount Brokers.