Summary
Senior Executive Financial Services/Capital Markets Institutional Consultant
Most recently served as Managing Director of Warren Financial, New York City office. Previously served in Senior Executive positions involving Capital Markets, Institutional Equity Sales , High Net Worth Financial Advisor, Public Relations, and Business Development. Highly skilled in creating new revenue streams throughout the United States capital markets. Leads investor and public relations initiative for emerging energy or technology companies; developments wealth management accounts for leading investment banks and private equity. #1 Ranked Salesman in the USA at Xerox Corporation 2 years in a row.
Capital Markets Business Development Skills
- Leadership
- Entrepreneurial Business Developer
- Relationship Maker and Manager
- Client Platform Originator
- Revenue Producer Increasing Shareholder Value
- Noted Communicator and Public Speaker
- Extensive Asset Manager Contacts
- Extensive Portfolio Management Experience
February 2014 – Present: Managing Director, Warren Financial; New York,NY
Heads up the firm's institutional sales division. With over 25 years of experience working on Wall Street, Mr. Little joined Warren to launch the Equity Tail Risk Hedge Overlay along with the Tail Risk Swap 40 Act compliant with no optionality across entire institutional landscape which includes asset managers, endowments, family offices, and pensions.
2013 Director, Corporate Communications and Investor Relations for MYOS Corp, leader in medical technologies for optimizing muscle performance;
2011-2012 Director, Corporate Communications & Investor Relations, Laser Energetics (LNGT) Orchestrated private investment road shows & managed private investments; issued critical press release communications; maintained shareholder communications
2008 – Present
The America China Bridge, Board Advisor
Introduced strategic partners from Dahlman Rose and Jeffries to invest in $4 billion Mongolian coal investment; introduced leading energy investment banks to Bridge investments. Currently spearheading EB-5 platform in New York with commercial real estate developers and brokerage for Asia Pacific Network.
Investor Relations Group, Executive Director, New Business Development
(IRG is a full-service corporate communications firm that provides investor relations and public relations services)
Secured 6 new business corporate clients in three months
Secured $5 million financing for existing client AOI Medical (AOI)
2007 – 2008 Laidlaw & Company
Managing Director, Investment Bank-Originated private equity opportunities
Closed over $100 million growth equity financing for Patriot Rail
Closed over $15 million growth equity financing for Pure Water Global
Orchestrated management-led buyout & capital financing for Southern California Waste Water
Orchestrated Euro Mortgage Bankers $16 million equity financing
2005 – 2007 Maxim Group,
Senior Vice President, Institutional Sales Resurrected institutional research & trading client platform in the Midwest (Chicago, Milwaukee, Minneapolis, Detroit, St. Louis)
Increased American Technology Corporation institutional ownership by 30%. Increased company equity value from $9.6 million to $69.7 million.
Created and executed American Technology Corporation national road shows in 2008-09
Originated and executed over 100 emerging growth company road shows
Closed over $100 million of finance transactions (PIPEs, SPACs, IPOs)
Spearheaded United States road shows for leading Chinese public companies in technology, healthcare, agriculture, and energy (CSST, SEED, SORL, WATG, FFHL, CABLF)
2003 – 2005 Oppenheimer and Co.
Executive Director, Institutional IR/Sales – Emerging Growth
Founded new Oppenheimer institutional sales & trading desk to manage and build relations with the largest buy side firms: Alliance, JP Morgan, CSFB, Deutsche Bank, Morgan Stanley. Achieved sales of over $20 million.
2000 – 2003 Prudential Securities
Senior Vice President, Institutional Equity Sales
Built institutional research sales business of over $9 million per year in gross production
Planned and executed over 100 road shows with CEOs and CFOs of represented public companies covered by top ranked Research Analysts, including Carol Coale, Mike Mayo, Nick Heymann, John McMillan.
1998-2000 SG Cowen Securities : High Net Worth Financial Advisor
1995-1998 Cowen & Co.: High Net Worth Financial Advisor
1992-1995 Oppenheimer & Company Inc.: High Net Worth Financial Advisor
1990-1992 Kidder Peabody & Company Inc.: High Net Worth Financial Advisor
1985-1990 Smith Barney Harris Upham: High Net Worth Financial Advisor
Education & Licenses M.B.A., Columbia University, 2000
B.S., magna cum laude, Finance/Business Management, Syracuse University
Loomis Chaffee School
Financial Regulatory Authority Licensed Series 7, 63, 65 >Licensed Real Estate Salesperson (NYS)
LOOMIS CHAFFEE SCHOOL VARSITY ICE HOCKEY - LEADING SCORER 1975
AMHERST YOUTH HOCKEY ASSOCIATION/ONTARIO MINOR HOCKEY ASSOCIATION:
1972 BANTAM CHAMPIONSHIP TEAM (Buffalo , NY) (Teammates: Jack Brownschidle (Defenseman) NHL St. Louis Blues '77 and Mark Toffolo (Defenseman) - Montreal Junior Canadiens '74)
PROFESSIONAL COMEDIAN: Opened for Rodney Dangerfield, 10 years. Also
opened for Robert Klein, Jay Leno, Smothers Brothers, Jerry Seinfeld, Ray
Romano, Brian Regan. Appeared on MTV Comedy Hour with Jon Stewart, Bill
Boggs Comedy Show (Fox), Howard Stern Radio (WNBC).
MARTIAL ARTS AND FITNESS: Black Belt in Okinawan Gojo Ryu Karate and Isshin Ryu Karate; (teacher 25+ years with schools in Buffalo, Rochester, and
Syracuse, New York)
ISSA CERTIFIED STRENGTH CONDITIONING COACH & TRAINER: (CPR & AED Certified)
TRINITY BAPTIST CHURCH : Active member in Men's Ministry & Youth Ministry
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