AB English, Haverford College, 1963
Marquette University, 1960-62, select studies
Commissioned officer, U.S. Navy: 7 years active duty (5 at sea, 2 as admiral's aide), 20 years reserve duty including two unit commands; graduate Naval Officer Candidate School, Naval Destroyer School, Naval War College Reserve Course; retired Captain, USNR-R
MBA Management Information & Control, University of Pennsylvania, Wharton School of Finance & Commerce, 1971
University of Florida, 2023, honorary alumnus
54 years in investment banking; 23 years in primary capital markets in senior positions of deal leadership (solicitation, structuring, marketing, pricing, distributing, after-market trading) & profit/loss responsibility in over 1,250 underwritten public offerings (150+ IPOs) at three global investment banks (Warburg Paribas Becker, PaineWebber, Lehman Brothers). Member new issue marketing & new issue commitment committees
Founding editor/co-author of “Capital Markets Handbook”, created in 1999 for securities industry under trade group (SIA, now SIFMA) sponsorship; now in Seventh Edition, 2025 Supplement
Expert in due diligence, IPO process, 144A transactions, corporate governance. Deposed, testified, authored expert opinions &/or consulted in 77 cases
FINRA dispute resolution arbitrator since 1996
Conduct corporate financial advisory & wealth management advisory businesses
Faculty member, Lecturer in Finance, Eugene F. Brigham Department of Finance, Insurance & Real Estate, University of Florida, Warrington College of Business, Hough Graduate School of Business, 1996-2025
Mentored students on organization/structure/evolution of global investment bank; corporate | municipal finance; M&A; primary capital markets; securities research; asset management | wealth management | family office; merchant banking | private equity | venture capital; work-life balance | career development & navigation | honesty-ethics-integrity | personal finance & retirement | citizenship
SER Voting Member
Curriculum Vitae