JMP Securities’ sales and trading platform serves a broad institutional client base.
Our salespeople work closely with our equity research staff to bring investors valuable insight and action-oriented ideas. Our trading professionals provide our clients with information, perspective and high-quality execution.
Our sales and trading infrastructure is central to our ability to execute securities offerings and provide after-market support. Accordingly, our sales and trading professionals work hand-in-hand with our capital markets group, which manages the equity, debt and convertible securities offerings underwritten by the firm.
Tom Wright is a Managing Director and is JMP Securities’ Director of Equities. In addition, he is a member of the executive committee of JMP Group.
Before joining JMP, Tom served as global head of trading at Sanford C. Bernstein & Co. for eight years. During the ten prior years, he held a variety of leadership positions at Merrill Lynch & Co., most recently as head of European equity trading and salestrading and previously as head of U.S. equity trading and salestrading. Tom was also a vice president and Nasdaq salestrader at Goldman Sachs & Co. for eight years. He began his career at Merrill Lynch & Co. on the Nasdaq desk in 1983.
Tom received an MBA from New York University Stern School of Business and a BS in economics and finance from Boston College.
Charlie Sweeney is a Managing Director and is Director of Sales and Trading.
Prior to joining JMP, Charlie served as Co-Head of U.S. Equity Trading at Cantor Fitzgerald & Co., where he also had day-to-day trading responsibility for the financial sector. For the previous three years, Charlie was Head of Cash Equity Trading and Sales Trading at Susquehanna Financial Group, where he participated in the overhaul of the firm’s sales and trading infrastructure as part of a six-member management team. Beforehand, he spent two years at Deutsche Bank Securities, trading equities in the financial sector and overseeing all cash equity trading in his second year at the firm. From 1991 until 2007, Charlie worked in equity trading at Merrill Lynch & Co., holding a variety of managerial positions and completing his tenure there as a Managing Director and head of the healthcare and financial sectors, with day-to-day trading responsibility for the healthcare sector.
Charlie holds a BS in business from Penn State University.
Rick Hanley is a Managing Director and is Director of Corporate Access.
Prior to joining JMP, Rick founded and operated Hanley & Associates for seven years, offering corporate access advisory services and technology solutions to sell-side and buy-side institutions as well as publicly traded companies. He was previously a Managing Director at Deutsche Bank, where he served as Head of Corporate Access and earlier as Head of Institutional Middle Market Sales. Beforehand, Rick was a Senior Vice President at Prudential Securities, working as Director of Consumer, Energy and Finance Research and as an institutional equity salesperson during his nine-year tenure. He spent two years as a Vice President and equity research analyst at McDonald & Company Securities and began his career as an investment analyst at National City Bank.
Rick holds an MBA from Indiana University and a BBA from University of Toledo.
Scott Margolis is a Managing Director and is Head of Convertible Sales and Trading.
Prior to joining JMP, Scott was a Managing Director at Piper Jaffray, where he traded convertible bonds and hybrid securities and provided institutional sales coverage as a senior member of the Fixed Income Services group. He was previously Head of Convertible Securities at Gleacher & Company, a Managing Director in equity-linked products at Weeden & Co. and a Managing Director in structured equity products at Bear Stearns & Co. Earlier in his career, Scott had convertible and derivative securities roles at Credit Suisse First Boston Corp., UBS Securities and Lehman Brothers. Before making the transition to finance, Scott was a senior administrator at The New York Hospital – Cornell Medical Center.
Scott holds an MBA from the Yale School of Management and a BA from University of Connecticut.
Dylan Ade is a Managing Director in sales trading.
Prior to joining JMP, Dylan was a Managing Director at Fulcrum Securities and previously held sales trading roles at Prudential Securities and Morgan Keegan. He began his securities trading career at the Boston Stock Exchange.
Dylan holds a BA from Hamilton College.
Scott Barishaw is a Managing Director in institutional sales.
Prior to joining JMP, Scott was a Managing Director at Evercore ISI, having co-founded Evercore Institutional Equities in 2010. He was previously a Managing Director and head of U.S. financial services sales at Macquarie Capital, having served as head of U.S. equity sales at Fox-Pitt, Kelton prior to its acquisition by Macquarie. Scott started his career at Bank of New York in corporate lending before moving to Citibank in a relationship management role.
Scott holds an MBA from Fordham University and a BA from University of Rochester.
Chris Barkauskas is a Managing Director in institutional sales.
Prior to joining JMP, Chris was a Managing Director at Morgan Keegan. He previously worked in institutional equity sales at Banc of America Securities, Schwab Soundview Capital Markets and Cowen & Co.
Chris holds a BA from Franklin & Marshall College.
Dave Ciruli is a Managing Director in institutional sales.
Steve Frankel is a Managing Director in institutional sales.
Prior to joining JMP, Steve was in institutional sales for seven years at Piper Jafray & Co. He previously served as an equity salesperson at Fulcrum Global Partners, C.E. Unterberg, Towbin and Merrill Lynch.
Steve holds a BA from Lehigh University.
Tyson Ester is a Managing Director in institutional sales.
Prior to joining JMP, Tyson spent six years at Soleil Securities, preceded by three years at Dougherty & Company.
Tyson holds a BA from Luther College in Iowa, where he was a member of the men’s soccer team, receiving recognition on the Verizon Academic All-America Team.
Steve Haynes is a Managing Director in Institutional Sales.
Prior to making the transition to institutional sales in 2004, Steve spent four years in JMP’s investment banking group with a focus on real estate. Prior to joining JMP, Steve worked in the investment banking department at Peacock, Hislop, Staley & Given for two years. Steve began his finance career in the research department at Jefferies & Co.
Steve holds an MBA from the University of San Francisco and a BA from the University of California, Los Angeles.
Colin Henne is a Managing Director in sales trading.
Prior to joining JMP, Colin had been an equity sales trader at Susquehanna Financial Group, where he spent two years aiding in the development of the firm’s San Francisco trading platform and institutional research sales effort. From 1996 through 2001, Colin served as an equity sales trader at Robertson Stephens. From 1993 through 1996, he worked at Scudder, Stevens & Clark and was responsible for all client trading activity executed by the Global Small Company Accounts division.
Jen Kurila is a is a Managing Director in sales trading.
James O’Day is a Managing Director in institutional sales.
Prior to joining JMP, James was a structured credit trader at CypressTree Investments.
James holds a BA from Northeastern University.
Jake Rothenberg is a Managing Director in institutional sales.
Prior to joining JMP, Jake was a Managing Director at Schwab SoundView Capital Markets, where he had served as an institutional salesperson since 1998. From 1996 until 1998, Jake worked in institutional sales at Hambrecht & Quist.
Jake holds a BA from the University of California, Santa Barbara.
Aidan Whitehead is a Managing Director in trading.
Prior to joining JMP, Aidan was head of listed trading at ThinkEquity partners. He has also served as a Director and position trader at SG Cowen Securities and a Principal and position trader at Robertson Stephens during his career.
Kristin Wilson is a Managing Director in institutional sales.
Prior to joining JMP, Kristin spent six years in the investment banking group at Banc of America Securites – and its predecessor firm, Montgomery Securities, where she provided M&A and capital raising services to technology companies, with a focus on the software and communications equipment industries.
Kristin holds a BS from the University of California, Santa Barbara.