Download JAMES M. SANFORD, CFA 107 STONEY HILL ROAD SAG

JAMES M. SANFORD, CFA
107 STONEY HILL ROAD
SAG HARBOR, NY 11963
917.902.0904 [email protected]
EXPERIENCE: Gleacher & Co. ( formerly Broadpoint Securities) : 1290 6th Ave, NYC, NY 10104 ( Aug 2010-­ Present) Managing Director : Credit and Convertible Bond Sales -­Market high yield, preferred/tier 1/hybrid securities, investment grade corporate, and convertible bonds to hedge funds and prop desks using firm-­wide credit and equity research. -­Spearhead expansion of Convertible Bond desk, overseeing hiring of trader, additional salesperson, research associate and capital markets professional. Serve as convertible bond capital markets liaison, participating on convertible new issue pitches to investment banking clients, pricing up hypothetical new bond issues, alerting investment bankers to trends in convertible new issuance. -­Implemented new third party algorithmic equity trading system to optimize equities and listed preferreds execution. Credit Suisse Securities USA, Inc.: 11 Madison, New York NY 10011 (Mar 1999-­ June2010) Managing Director, Global Credit Products: Hedge Fund Credit Sales (April 2004-­ Present) #1 Producer in 2007 ($38mm), 2008($60mm) and top 3 in 2005-­2006 covering convert, capital structure and credit arbitrage hedge funds and prop trading desks for credit derivatives, investment grade and high yield cash bonds, loans, structured credit tranches and CDS index options. Cross sold life insurance derivative products, secured aircraft financing, ABX and CMBX derivative index products, asset backed credit derivatives, interest rate swaps. Managed 5 member Hedge Fund Sales sub group in 2006-­2007 before being rolled into overall Credit Sales, responsible for account allocation, compensation feedback, and revenue growth strategy. Director, Equity Derivative and Convertible Group: Convertible Bond Sales ( Mar 1999-­Apr 2004)
Top 2 producer on top 3 U.S. Convertible Desk ranked by McGlogan and Greenwich Survey. Covered arbitrage, high yield/distressed and outright/mutual fund customers by providing liquid secondary markets, formulating quantitative arbitrage, credit based/yield oriented, and outright equity directional investment ideas. Total secondary sales credits of $25mm per annum. Provided distribution, marketing, and road show coordination on primary convertible deals, over 150 lead managed CSFB deals to date. Cross-­marketed credit derivatives, asset swaps, and algorithmic equity execution services. Provided introductory role for CSFB Prime Brokerage Group marketing effort to convertible arbitrage hedge funds, leading to two top 10 CSFB Prime Banking customers defined by long balances. Assigned role of Relationship Manager for 3 Equity Derivative Focus Customers and Team captain for 2 FOLHQWVLQWKH³&6)%(TXLW\&OXE´VHUYLQJDVHTXLW\IORRULQWHUQDOUHSUHVHQWDWLYHIRURIWKHWRS86(TXLW\
Accounts. JP Morgan Securities Inc: 60 Wall Street, New York NY, 10006 (Jan 1994 ±Mar 1999) Vice President, Convertible Bond Group: Convertible Bond Sales Marketed US and international securities to US based arbitrage, high yield, and outright/ directional customers. Market total return swaps to convertible arbitrage hedge funds. Provide distribution and marketing role on primary convertible deals. Desk liaison to internal IT development team of first electronic ticket and risk management system Cranmer & Cranmer/Kalb Voorhes, L.P.: American Stock Exchange (Sep 1991-­Jan 1994) Specialist Clerk: Trading Assistant to specialists in equity options and listed derivatives such as primes, scores, Exchange Traded Funds. Reconciled positions, P/L figures, resolved trade breaks, tabulated intra-­day and pre-­
opening delta and gamma risk profile for traders. LISCENSES/ ACCREDITATIONS Series 63, Series 7, Series 4, Series 24
CFA Chartered Financial Analyst completed June 1998. Member AIMR, NYSSA (New York Society of Security Analysts) EDUCATION Amherst College, Amherst Massachusetts Graduated May 1991
Received Bachelors of Arts in dual majors Economics and Political Science