SAMCO CAPITAL MARKETS - Key Persons
Job Titles:
- Managing Director, San Antonio
Allen Westerman joined SAMCO in 2002, after having worked for SBC Communications for 28 years. He is currently providing economic and financial research support and debt structure modeling scenarios. He graduated from Texas A&M University in 1974 with a degree in business. He is registered with the Financial Industry Regulatory Authority as a Municipal Advisor Representative (Series 50), General Securities Representative (Series 7) and Limited Representative-Investment Banking (Series 79), and holds a Uniform Securities Agent State Law License (Series 63).
Job Titles:
- Managing Director, Dallas
Mr. Shiels has over 15 years' experience in fixed-income trading and sales. He began his career with First Southwest Company where he traded fixed income products for Public Fund clients and the firm's correspondent firms. In 1992, he joined Southwest Securities and was responsible for trading all mortgage and government-agency products for Southwest's institutional and retail distribution, as well as the firm's external customers. He joined SAMCO Capital Markets in March 1996 as a member of the taxable bond trading team, specializing in mortgage, agency, and investment-grade corporate bonds.
Job Titles:
- Managing Director, Dallas
- SAMCO in 2009 As a Managing Director
Mr. Whitlock joined SAMCO in 2009 as a Managing Director, to expand the Underwriting and Public Finance presence in Texas and nationwide. Mr. Whitlock has over two decades of experience in the financial industry with most of his career in public finance. Prior to joining SAMCO he ran the Citigroup Regional Office where he traded and underwrote municipal bonds. He is well versed in all areas of municipal finance and has many years of experience trading and underwriting a broad spectrum of municipal credits. Mr. Whitlock attended The University of Missouri for his undergraduate degree, and The University of Dallas for his MBA. He is a former board member of The Municipal Advisory Council of Texas. Mr. Whitlock is registered with the Financial Industry Regulatory Authority as a Municipal Securities Principal (Series 53) and General Securities Representative (Series 7) and Limited Representative-Investment Banking (Series 79) and holds a Uniform Securities Agent State Law License (Series 63).
Job Titles:
- Senior Managing Director, Plano
Mr. Whitt began his career in 1993. He is responsible for the management of financial advisory clients and underwriting clients. During his career he has been responsible for structuring, advising on and directing the underwriting of over $17 billion of municipal bonds.
Mr. Whitt has structured and executed every type of financing available to Texas municipalities. His experience includes general obligation bonds, revenue bonds, Qualified Zone Academy Bonds, Qualified School Construction Bonds, Build America Bonds, contractual obligations, lease revenue bonds, maintenance tax notes, delinquent tax notes, lines of credit, tax anticipation notes, escrow swaps, cash defeasances, refinancings and restructurings. He has written and conducted numerous bond election strategies, investment analyses and credit rating presentations.
Mr. Whitt is a graduate of Texas A&M University with a Bachelor of Science degree in Economics. He has a Master of Science degree in Economics and a Master of Accounting degree from the University of North Carolina. His licenses include Series 7 (General Securities), Series 63 (Uniform Securities Agency State Law), and Municipal Advisor Representative (Series 50). He has served as the Chairman of the Municipal Advisory Council of Texas.
Job Titles:
- Senior Managing Director, San Antonio
Duane L. Westerman brings over 25 years of experience from a variety of reputable public finance firms and professionals, including working with his father Floyd for 20 years. As Managing Director of Public Finance at SAMCO, he provides financial advisory and investment banking services to municipal entities. Before joining SAMCO in February of 2000, Mr. Westerman served as Vice President of Southwest Securities in San Antonio from 1990 to 2000. Prior to that, Mr. Westerman was Vice President of Knibbe Financial Group and M.E. Allison & Co., Inc. also in San Antonio. He is a member of several professional associations including Municipal Advisory Council of Texas, Texas Municipal League, Texas Public Power Association, Texas Association of School Administrators, Texas Association of Community Schools, Texas Association of Counties, and the Optimist Club of San Antonio. He has served on the board of the Municipal Advisory Council of Texas and was the Chairman for the 2007-2008 year. He is registered with the Financial Industry Regulatory Authority, holding the following licenses: Series 7, 8, 24, 27, 50, 53, 63 and 79.
Job Titles:
- Managing Director, Dallas
Jacob Thompson re-joined SAMCO in April 2010 as Managing Director of Investment Banking. Heading up the firm's Financial Institutions Group, he is responsible for providing M&A, advisory and valuation services to the financial institutions industry, primarily focusing on community and commercial banks. Previously, Mr. Thompson was a Managing Director at Commerce Street Capital, and began his career with Frost Bank in Fort Worth. Mr. Thompson holds an undergraduate degree in Finance from TCU and received his Accredited Valuation Analyst (AVA) designation from the National Association of Certified Valuation Analysts in 2006. Mr. Thompson is registered with the Financial Industry Regulatory Authority as a General Securities Representative (Series 7), and holds a Uniform Securities Agent State Law License (Series 63).
A Managing Director and Sales Manager in Institutional Fixed Income Sales, Mr. Rowlett began his career with a Dallas based bank holding company in 1983 before joining Dean Witter Reynolds, Inc. in Dallas. His 32 years experience also includes 11 years with Principal Financial Securities in Dallas prior to joining SAMCO Capital Markets in 1998. Mr. Rowlett received his BBA degree in marketing from the University of Texas in Austin in 1978.
He is registered with the Financial Industry Regulatory Authority as a General Securities Representative (Series 7), Uniform Securities Agent State Law (Series 63), General Securities Sales Supervisor-Options Module (Series 9), General Securities Sales Supervisor-General Module (Series 10) and Municipal Advisor Representative (Series 50).
Nicholas Westerman joined SAMCO in 2015, after having worked for the Municipal Advisory Council of Texas. He provides economic and financial research support, as well as assisting in debt structuring scenarios and tax rate analysis.
He is registered with the Financial Industry Regulatory Authority as a Municipal Advisor Representative (Series 50), General Securities Representative (Series 7) and Uniform Securities Agent State Law License (Series 63).
He graduated from Texas Tech University in 2013.
Job Titles:
- Managing Director, Dallas
Quentin Boyd joined SAMCO Capital Markets in April 2010. Quentin is a graduate of Sam Houston State University with undergraduate degree in general business. He is registered with the Financial Industry Regulatory Authority as a General Securities Representative (Series 7) and holds a Uniform Securities Agent State Law License (Series 63).
Job Titles:
- Managing Director of Investment Banking
- Managing Director, Dallas
Richard Davis is a Managing Director of Investment Banking focused on corporate finance, mergers and acquisitions and other financial advisory services. Prior to joining SAMCO, Mr. Davis was a Managing Director of Investment Banking with Southwest Securities, Inc. and Dain Rauscher Incorporated (f/k/a Rauscher Pierce Refsnes, Inc.). During his continuous 30-plus year investment banking career, Mr. Davis has worked on a broad range of investment banking and corporate finance transactions which include advising corporate clients and investment professionals in diversified industries including consumer retail and service, industrial, energy, capital goods, financial services and food/beverage. These transactions include, among others, over 40 public offerings raising more than $3.4 billion, over 40 merger and acquisition transactions, private placements and numerous other financial advisory, valuation and expert testimony assignments.
Mr. Davis has been a frequent lecturer at the Southern Methodist University Cox Graduate School of Business and other academic and business organizations. Mr. Davis is also a member of the CFA Institute. Mr. Davis received a B.S. degree (magna cum laude) in business administration from the University of Kansas and a M.B.A. degree from The University of Texas, where he was a Sord Scholar. Mr. Davis also graduated from the Securities Industry Institute of The Wharton School of the University of Pennsylvania. Mr. Davis is a Chartered Financial Analyst and has both the Financial Industry Regulatory Authority General Securities Representative (Series 7) and Uniform Securities Agent State Law (Series 63) licenses.
Job Titles:
- Managing Director
- Managing Director, Dallas
Mr. Phillips is a Managing Director of SAMCO Capital Markets. His primary emphasis is providing fixed-income security investments to financial institutions, as well as educational and municipal government entities.
In 1977, after receiving a BBA in Finance from the University of Texas at Austin, Mr. Phillips joined the Asset Management Department at Corpus Christi National Bank. Over the next 17 years, he progressed in his career to the office of Senior Vice President.
By the end of that 17 year period, he had acquired a great deal of expertise in the investment market, particularly fixed-income securities, government bonds, and portfolio management for both individuals and corporate entities. In May of 1994 he moved to Dallas and began to share that expertise through Banc One Capital Markets, where his knowledge and experience continued to expand as Associate Director.
Mr. Phillips joined the SAMCO team in March of 2003. His reputation for acute business sense, knowledge of his field, and a high standard of honesty and integrity, serve him well. He has developed faithful relationships with his clients, some dating back many years. Mr. Phillips' relationship with SAMCO dates back to those years on the purchase end of the relationship while with CCNB, and subsequently with Banc One. We are proud to have him on the SAMCO side of the desk.
Job Titles:
- Managing Director
- Managing Director, Dallas
Stacey Barnett is a Managing Director of fixed income sales and joined SAMCO Capital Markets in 2005. Stacey is a second generation fixed income salesperson, joining her father who was in the business 35 years.
Prior to joining SAMCO, Stacey spent a year as a fixed income salesperson for Stephens, Inc. in Little Rock and St. Petersburg, FL.
She is a member of the networking committee of Texas Wall Street Women, a non-profit exclusive peer network of professional women in the finance industry who are committed to making a difference in their community and to developing and growing professionally. For example, TXWSW partners with the Young Women's Preparatory Network in order to raise money to help support the college readiness programs at the six Texas-based all-girls schools. She also coaches girls basketball for a Dallas YMCA youth sports league.
Stacey holds a Bachelors degree in International Marketing from Texas A&M University in College Station, TX. She is registered with the Financial Industry Regulatory Authority as a General Securities Representative (Series 7) and holds a Uniform Securities Agent State Law License (Series 63).
Job Titles:
- Managing Director of Institutional Sales
- Managing Director, Dallas
Mr. Finn has been a Managing Director of institutional sales at SAMCO Capital Markets from 1989 to 1995 and most recently since the fall of 2000, serving financial institutions, money managers and trust departments. His career has spanned over 25 years and during that time his business philosophy has incorporated a high degree of professionalism, integrity and reliability. He has focused on building long term relationships and still has many accounts doing business with him today that he opened in the first few years of his career. From 1995 to 2000 he was with Morgan Keegan as Vice President in the Dallas office. From 1984 to 1987 he worked in fixed income sales in Dallas for two regional broker dealers, Schneider Burnet & Hickman and Southwest Securities. He began his career in institutional fixed income sales with a regional bank holding company, Bank Texas-Dallas. He earned a BBA in Business from Southern Methodist University in Dallas in 1980.
Job Titles:
- Managing Director, Dallas
- SAMCO in 2021 As Managing Director
Will Osborne joined SAMCO in 2021 as Managing Director. He has worked in the municipal bond industry since 2001, previously as a trader/underwriter at D.A. Davidson.
Will graduated from Texas Christian University with a BBA in finance. He is a Chartered Financial Analyst and is registered with the Financial Industry Regulatory Authority as a General Securities Representative (Series 7), Municipal Securities Principal (Series 53), General Securities Principal (Series 24) and Uniform Combined State Representative (Series 66).