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Francis A. Mlynarczyk, Jr.
Chief
Executive Officer AMLCO, FINOP |
Wade N.
Black
Chief
Operating Officer CCO, FINOP |
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OPERATIONS AND
ADMINISTRATION
+1 (212) 433-1375
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Heather M.
Fitzgerald
Operations |
David J.
Laubach
Compliance |
Rebecca
Lopez
Administration |
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INSTITUTIONAL
SALES +1 (212) 433
1375 |
EQUITY TRADING
+ 1 (212) 433 1380 |
SYNDICATE
+1 (212) 433-1375 |
Francis A.
Mlynarczyk, Jr.
Robert E. Backof Rüdiger H.
Beutell
Wade N. Black David
Giannini Anthony
Loumidis William F.
Matlack
William C.
O'Malley, Jr. Samir Si-Ahmed |
Robert E. Backof Lori J. Bennett
Italo Passante Samir Si-Ahmed |
Wade N. Black Francis A. Mlynarczyk, Jr Rüdiger Beutell
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INSTITUTIONAL
LUNCHES +1 (212) 433
1375 |
DISCRETIONARY
ACCOUNTS
+ 1 (212) 433 1375 |
PLACEMENT AGENT
SERVICES
+1 (212) 433-1375 |
Francis
A. Mlynarczyk, Jr. Anthony B.
Low-Beer
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Francis
A. Mlynarczyk, Jr. Rüdiger H.
Beutell
Wade N. Black Anupum Khaitan Regina
McCormack Anthony B.
Low-Beer |
Wade Black Rüdiger H.
Beutell Christopher Arts Jyoti
Aggarwala Jens Hofmann Carl Berg |
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INVESTMENT BANKING
+ 1 (212) 433 1375 |
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GENERALISTS |
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EXTRACTIVE INDUSTRIES |
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Francis
A. Mlynarczyk, Jr. Rüdiger H. Beutell |
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Oil, Gas,
Energy Services David A.
Giannini, CFA Francis
A. Mlynarczyk, Jr. William
C. O'Malley, Jr. |
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CONSUMER PRODUCTS, RETAIL,
HEALTHCARE |
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MINING |
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N. Scott Fine William A. Jolly Marc
Manuel David Sans |
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Wade N.
Black David A. Giannini, CFA William F. Matlack
Kathy Walton |
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Aggarwala,
Jyoti
Backof, Robert
Bennett,
Lori
Beutell,Rüdiger
Black, Wade
Brimberg,
Anne
Fine, Scott |
Fitzgerald, Heather
Gaynes,
Ben
Giannini,
David
Jolly, William
Laubach, David Loumidis, Anthony
Lopez,
Rebecca |
Low-Beer, Anthony
Manuel, Marc
Matlack, William
McCormack, Regina
Mlynarczyk, Francis
O'Malley,
William
Sans,
David |
Si-Ahmed, Samir |
New
York
Francis A. Mlynarczyk,
Jr. Frank
Mlynarczyk, member, registered principal, has been in the investment business
for over thirty-five years. From 1993 to 2005 he was chief operating officer of
Brimberg & Co., L.P., a registered broker/dealer, after the death of Robert H.
Brimberg, who had asked him to join the firm as a limited partner in 1991. Prior
to that time he was a private investor subsequent to holding senior positions in
portfolio management, securities trading, firm management, and compliance at
three registered investment advisors. He joined the investment management group
of Citibank, N.A. in 1969, where he was variously a research analyst, research
manager, portfolio manager, head of quantitative analysis, founding head of the
investment strategy department, a domestic and international political and
economic analyst, and a member of the investment policy committee. He left
Citibank as a vice president in 1981.
Mr.
Mlynarczyk received a Ph.D. in financial accounting and control in 1969, an M.S.
in industrial administration in 1965, and a B.S. in aeronautical and engineering
sciences in 1964, all from Purdue University where he was a member of Iron Key,
Tau Beta Pi, and Omicron Delta Kappa. His articles and book chapters in the
1960s and 1970s appeared in
Financial
Analysts Journal, Frontiers of Investment Management, Pensions and Investments,
Financial Analysts Handbook, and the
Journal of Accounting Research.
He
is a member of the New York Society of Security Analysts, and the CFA Institute.
He serves on the investment subcommittee of the Trinity Health System in Novi,
Michigan. He was raised in Pittsfield, Massachusetts, where he attended public
schools.
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Anthony B. Low-Beer
Tony Low-Beer, member,
registered principal, has been in the investment business for over thirty-five
years. He was a registered principal of Brimberg & Co., L.P., a broker/dealer,
from 1998 to 2005, where he managed discretionary accounts, an activity in which
he has been engaged for over twenty-five years at several broker/dealers. He
began his career as a security analyst with Lord Abbett, later moving to
Neuberger Berman and L.F. Rothschild where he received industry-wide
recognition by being elected several times to the
Institutional Investor
All-Star
Research Team in railroads and honorable mention in airlines. At various times
he was engaged in investment banking activities and, among other
assignments, was a leading influence in bringing America West Airlines to the
public market. An investment generalist, he has a reputation among his peers as
being an original thinker.
Mr. Low-Beer received a Ph.D.
in economics from Columbia University in 1971, and a B.A. in philosophy from
Brown University in 1965. He was raised in New York and Italy, where he spent
nine years.
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Wade N. Black Wade
Black, member, registered principal, has more than ten years of experience
managing operations for broker/dealers and investment advisory firms. Mr.
Black began his career at Brimberg & Co., L.P., in 1994 as Manager of
Operations, left to form Leeb Brokerage Services, Inc. in 1998, where he
stayed until January of 2004 as Chief Financial Officer, having successfully
built an institutional agency trading desk.
Mr.
Black graduated
cum laude
with a bachelor's degree in philosophy and economics from Columbia
University in 1999, and earned a master's degree in business administration
from Columbia Business School in 2005. He is also a trustee of the Mary
McDowell Center for Learning, a Quaker school for learning-disabled children
in Brooklyn, New York.
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Rüdiger H. Beutell
Rudy Beutell, member, has been in the investment
business for over twenty years. In 1997 he co-founded AMERIKA DIREKT, a firm
that originates and securitizes commercial mortgages to be issued to European
investors. Prior to that time he managed the
international fixed income desk at DG Bank's (now DZ Bank) New York office.
From 1992 to 1995 he had been with Deutsche Bank in New York. After assisting in
the administration of Deutsche Bank's U.S. real estate funds, and REITs
business, he traded U.S. mortgage backed securities. From 1988 to 1992 he was a financial audit manager for Deloitte & Touche,
specializing in banks, and brokers. Prior to that, from 1986 to 1987 he was a
marketing manager for Nixdorf Computer's line of Unix office solutions.
Mr. Beutell graduated from the University of
Paderborn with an M.B.A. (Dipl. Kaufmann), and a B.A. (Dipl.
Betriebwswirt) in business and finance. He was born and raised in Paderborn, Germany.
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Regina McCormack
Regina McCormack, member, has been Anthony B. Low-Beer's factotem for over twenty years. She assists in the administration of Tony's
discretionary accounts business by monitoring and processing his trades. She
began her career as a registered representative with Haller + Stieglitz & Co.,
later moving to Advest & Co. as operations manager. She joined Tony Low-Beer in
1985, and Brimberg & Co. with him in 1998, subsequently accompanying him to
Scarsdale Equities LLC upon its formation.
Ms. McCormack received a B.A. in business finance from Baruch University in
1974, later earning an M.S. in special education at Adelphi University. She was
raised in New York City.
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Anne M. Brimberg
Anne Brimberg, member, was
the wife of the late Robert H. Brimberg, a founder with his brother of Brimberg
& Co. in 1956, and senior partner until his death in 1993. Anne played an
important role with her husband in building Brimberg & Co. through hosting and
supervising business functions for that firm for over thirty years. From 1993 to
2005 she was a limited partner of Brimberg & Co. in her own right.
Ms.
Brimberg received a B.A. from the school of business from Simmons College in
1954. She is a native of New York City, where she has been on the auxiliary
board and a long-time volunteer at Lenox Hill Hospital.
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Robert E. Backof
Rob
Backof, registered principal, equity trader, has some twenty years experience in
the investment business. He was an equity trader and institutional sales trader
at Leeb Brokerage Services Inc., after spending seven years at Banc of America
Securities LLC, four years at Morgan Stanley & Co., Inc. and seven years at Robb
Peck McCooey Clearing Corporation in a similar capacity.
Mr. Backof received a B.S. from City
University of New York in finance and economics and attended graduate school at
Baruch College.
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N. Scott Fine and William A. Jolly Scott Fine,
registered principal, has been in the investment business for over 25 years.
Scott and Bill Jolly, registered principal, his partner, started their own
broker–dealer, Fine Equities, in 1996. Their focus has been in healthcare and
consumer products. Their projects include co-managing the IPO for Central
European Distribution Corporation (NASDAQ: CEDC), multiple private placements
for Interleukin Genetics (AMEX: ILI), multiple private placements for Med-Design
Corporation (recently acquired) and multiple financings for Dotmenu.com, a
private company. They play an active, on-going advisory role in their client
companies and currently sit on the board of two companies.
Prior to 1996, Scott spent his Wall Street career working for
several firms including Kidder-Peabody and First Albany in both corporate
finance and managing accounts for high net worth and institutional clients. In
1993, Scott originated and led the IPO for Green Mountain Coffee Roasters
(NASDAQ: GMCR).
Prior to 1996, Bill Jolly spent his career in consumer products,
working for Procter & Gamble and Scott Paper. He spent a significant portion of
his career in Asia running businesses throughout the region. Bill met Scott
when they were both living in Jakarta, Indonesia, where Bill was President of
Procter & Gamble Indonesia, in the early 1990’s.
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Ben Gaynes, Jr.
Ben
Gaynes, registered representative, has over fifty years experience in the
investment business. He has been a political economist/analyst for over sixty
years. He was a pioneer along with Robert H. Brimberg (in whose honor Scarsdale
Equities LLC is named) in bringing Wall Street to Washington in the 1960s. He
conducted annual two-day Washington seminars for groups of institutional
investors for twenty-five years. He has been providing analyses of domestic and
international political and economic issues to institutional investors
continuously since 1951. He continues to give speeches and provide consulting
services to investment organizations and industrial corporations.
Mr. Gaynes
graduated from Yale University in 1946 and did graduate work at Stanford
University. He worked in his first political campaign in 1946. He was raised in
New York City where he graduated from The Taft School, Watertown, CT.
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Rebecca Lopez
Rebecca Lopez assists in the
securities operations and administration of the firm. From 2002 to 2005 she
worked at Brimberg & Co. prior to joining Scarsdale Equities LLC.
Ms. Lopez is a graduate of
Kingsborough Community College with an associate degree in business
administration.
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William F. Matlack Bill Matlack, registered
representative, has over nine years experience in the investment business. He
has been a research analyst, institutional salesman, and investment banker in
mining equities with Aegis Capital, BMO Nesbitt Burns, Sanford Bernstein, and
Salomon Smith Barney. His industry experience includes twenty years as a
geologist in mineral exploration, primarily with Santa Fe Pacific Gold and Gold
Fields, where he was involved in several world-class gold discoveries. He
has also recently used his exploration background to be the finder of projects
for junior start-up companies, most notably Mt. Hope, Nevada molybdenum for
Idaho General Mines and Saddle Hills, Mongolia uranium for Western Prospector
Group.
Mr. Matlack has a B.A. Geology
from Carleton College and a M.S. Geology from the University of Minnesota.
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Heather M. Fitzgerald
Heather Fitzgerald, registered
representative, has been with Scarsdale Equities since its inception. She is
responsible for managing client account documentation requirements in compliance
with the NASD, and ensuring proper and efficient settlement of institutional and
retail clients’ trades. Before joining Scarsdale Equities, she was with
Brimberg & Co. for four years in operations.
Mrs. Fitzgerald graduated from the
Kelley School of Business at Indiana University with a B.S. in business with a
concentration in finance. She is originally from Indiana and moved to New York
in the fall of 2000.
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Samir Si-Ahmed
 
Samir Si-Ahmed,
institutional
sales trader, has been with Scarsdale Equities since 2006. He is
responsible for executing trades for and
maintaining relationships with institutional clients.
Mr. Si-Ahmed began his career at Merrill Lynch in 1998 as a sales assistant
for a team of financial consultants. He joined an emerging market hedge
fund in 2000 as a portfolio manager for Asia and Latin America. Before
joining Scarsdale Equities, he was an institutional sales trader at Leeb
Brokerage Services for four years.
Mr. Si-Ahmed is a
graduate of Boston University with a bachelor’s degree in economics,
with a course concentration in Monetary and Banking. He was raised in
Paris, France.
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Jyoti Aggarwala
Jyoti
Aggarwala brings
twenty three years of finance and institutional sales experience to Scarsdale
Equities LLC. Jyoti is a skilled marketer of sophisticated
financial services and products and is especially adept at developing long-term
relationships for clients and the firm. Jyoti has a natural ability for being
able to tap into new markets for capital, both in the U.S. and overseas. Jyoti
brings to Scarsdale Equities LLC a global investor network. She has strong relationships
with top-tier institutional investors, including Corporate and Public Pension
Funds, Endowments & Foundations, Consultants/Gatekeepers, Fund-of-Funds and
Family Offices. Prior to joining Scarsdale Equities LLC Jyoti had founded Devi Capital,
a private equity fund raising advisory firm. Prior to that Jyoti was a partner with Thomas
Capital Group. Her primary role at Thomas Capital Group was marketing of client
funds and business development. She was responsible for the firm’s marketing
efforts in the US primarily in the northeast, in Asia, and in Europe. Jyoti’s
career prior to Thomas Capital Group included work with Nomura Securities,
Peregrine Brokerage, Inc. and Ladenburg, Thalmann & Co., Inc., all leading
international and domestic brokerage firms. She began her career with Ladenburg,
Thalmann as an equity analyst covering the domestic consumer retail sector.
After five years, she shifted her focus to institutional sales, marketing South
Asian and SE Asian equities to U.S. fund managers for Peregrine and later,
Nomura. Immediately prior to joining Thomas Capital Group, she worked as an
independent consultant, advising a family office on hedge fund management
strategy and manager selection.
Jyoti holds Series 7, 63 and 24 registrations.
She earned an MBA in Finance from Bentley College and a BA (Honors) in Economics
from Delhi University. Jyoti has conversational knoweldge of Italian and several
Indian dialects, including Punjabi, Hindi and Urdu.
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David Laubach
David
Laubach, registered principal, has more than five years experience in the
investment business. Dave attends most idea lunches hosted by Scarsdale
Equities, where he takes notes on behalf of the attending participants. He began his career at Leeb Brokerage Services Inc. in
trading and operation before joining Scarsdale Equities LLC in the trading
department. After a brief stint as a Compliance Officer at Penson
Financial Services Inc. in Dallas, he returned to Scarsdale Equities LLC.
Mr.
Laubach, raised in Dallas, received a B.A. from New York University in
economics.
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David Sans PhD
David
Sans applies his broad industry knowledge to drive partnership opportunities
in life sciences. His significant experience as a marketing/sales and business
development executive for leading pharmaceutical and medical device companies
spans more than twenty years and covers assignments throughout the United
States, Europe and Middle East. Prior to joining Scarsdale, David was the Senior
Director of Corporate Development at ImClone Systems, Inc. He previously served
as Managing Director at Pfizer providing strategic analytics to sales,
marketing, clinical development and business development. At Pfizer he served
on the Global Management Science Directorship , evaluating acquisition and
alliance opportunities, reengineering projects and facilitating change
management teams in oncology, ophthalmology and CNS. His experience also
includes executive international assignments setting up international businesses
and identifying strategic growth opportunities for Cilag, JNJ and Jansen
Pharmaceutical. David has completed more than twenty transactions, mergers and
divestitures and is engaged in healthcare investment banking opportunities in
diagnostics, medical devices and specialty pharmaceuticals. David holds
a masters degree in life science from Technische Universitat in Berlin,
a masters degree in international business from Wharton School of Business, a
Ph.D. in life sciences from ETH in Zurich and an MBA in finance and business law
from ESADE in Barcelona and Fordham University in New York.
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Marc Manuel
Marc joined Scarsdale Equities after a
successful career as an entrepreneur and consultant that started in the
healthcare field based upon relationships fostered while at GE Medical Systems
and culminated in the private equity sector. During his tenure in the
healthcare field, Marc founded, built, and later sold health-related businesses
and established several successful joint ventures. Marc has extensive
experience in capital formation structures, having raised equity and debt
financing for emerging and lower middle-market companies from angels and
institutional investors, acting as both principal and agent. By sharing his
entrepreneurial experiences, he supported companies facing rapid growth and
operational execution challenges. Many engagements included providing M&A
services to middle-market companies, assuming the role of CFO of several
businesses including a $50 million physician practice and being named Vice
President of Strategy of a $300 mm insurance company. Immediately prior to
joining Scarsdale Equities, Marc was assisting executive leadership teams of
private equity portfolio companies in the aviation arena, alternative energy,
and oil distribution space. Having built startup companies, Marc is well aware
of the rigorous challenges inherent in operating a business. He believes in
treating a client’s company as if it was his own and understands the importance
of communication and aligning the interests of various stakeholders. Marc
exhibits a keen focus and tireless devotion to every project in which he
engages. Marc earned a baccalaureate degree, cum laude, from George Washington
University and an MBA from Fordham University.
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Houston |
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David A. Giannini, CFA
David Giannini,
registered representative, has over twenty years experience in the investment
business. He spent nearly ten years with Sanders Morris Harris in institutional
sales, after stints with Jefferies & Company, Inc., Simmons & Company
International also in Houston, and seven years with Kidder Peabody & Co.
Incorporated in New York. A generalist, in recent years he has specialized in
oil and gas and related industries, and in metals mining. His corporate
experience included three years in underground mining at Falconbridge Nickel
Mines in the early 1970s, two years with the Government of Canada negotiating
native land claims in the Western Artic, and several years in the 1980s in
corporate law practice in Toronto and Sydney, Australia.
Mr. Giannini studied law, with a
B.A. and LL.B. from University of Western Ontario, and an LL.M. from the London
School of Economics. He was raised in Canada and still plays hockey.
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William C. O'Malley, Jr. Bill O’Malley, registered
representative, has over ten years experience in the investment business. He
spent five years with Sanders Morris Harris, Inc. in institutional sales, and
subsequently three with Sterne Agee and Leach, Inc., both in Houston. In recent
years he has specialized in oil and gas and related industries, both as an
institutional salesman and an investment banker. In the late 1980s and early
1990s he spent five years with KPMG Peat Marwick LLP in KPMG’s International Tax
practice and four years with Andersen Consulting, a separate business unit of
Arthur Andersen and Company.
Mr. O’Malley was trained in
accounting and tax matters, and received a M.B.A. in Accounting and a M.S. in
Taxation from Fordham University Graduate School of Business. Mr. O’Malley
received his B.A. in psychology and pre-medicine from The University of Texas at
Austin. Mr. O’Malley also attended Georgetown University in Washington, D.C
where he played on the varsity baseball team. Mr. O’Malley enjoys golf,
baseball, football, basketball and hunting.
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Lori Bennett Lori
Bennett, equity trader, has been in the investment business for over twenty
years. She joined the firm in May 2006 after having served as a Vice President,
Institutional Trading, at Sanders Morris Harris and a predecessor firm for
nearly fifteen years, where she was responsible for serving domestic and
international accounts. She entered the investment business on the buy side with
Mesirow Asset Management where she began as a portfolio administrator before
being responsible for all equity and fixed income trading for its group of
mutual funds and managed accounts.
She graduated from Alma
College, Alma, Michigan, with a B.A. in Business Administration/International
Business.
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Boston |
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Anthony S. Loumidis
Anthony Loumidis, registered
representative, has some five years experience in the investment business. He
joined the firm upon its founding in 2005 in institutional sales. His experience
includes positions with Thermo Electron Corporation as National Sales Manager
for Thermo Capital Financial Services, Manager of Investor Relations, and
Manager of Business Development of Tecomet, a subsidiary of Thermo Electron. He
retains positions as President of Alexandros Partners LLC, a firm providing
consulting services to early stage entrepreneurial ventures, and Chief Financial
Officer of American DG, Inc., an energy services company.
Mr. Loumidis received a
B.B.A. from American College of Greece, whee he was raised, and an M.B.A. from
Northeastern University.
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