EDWARD J. CLAIRE
35 Catesby Lane • Bedford, NH 03110
Phone: 603-471-3334
CRD# 1814237
edclaire@firstintegritycapital.com
EDUCATION
Mount Saint Mary’s University, Emmitsburg, MD, B.S. 1987. Major: Business and Finance
Registered General Securities Representative, Series 7 & 63 passed August, 1988, General Securities Principal
EXPERIENCE
Managing Director (Present) First Integrity Capital Partners Corp. Bedford, New Hampshire
Responsible for fixed income sales and trading, client relationships and the Firm’s expansion in the Northeast and MidAtlantic markets.
Senior Vice President, Institutional Sales (2007-2010) Fundamental Capital Markets, New York, NY
Specialist in US Agency bonds. Developed and supported accounts consisting of mid tier banks, trust departments, asset managers and insurance companies. Successful at identifying value in the secondary market relative to my customers’ needs. Handled all trading of structured agency notes (Range accruals and all curve related instruments).
Vice President, Institutional Client Group, Regional Dealer Sales (2000-2007) Lehman Brothers, Inc. New York, NY
Responsible for sales coverage to all small and mid sized regional dealers for all taxable fixed income products. By building strong one on one relationships with the traders and salesmen at these firms, I have been successful in helping my clients and my firm’s trading desks achieve their trading objectives while at the same time discovering new distribution channels.
Proven success in selling the following products:
- Rate Products: US Bills, US Treasuries, Agency Discount Notes, Agency Bullets, Agency Callables, Agency Structured Product.
- Credit Products: Commercial Paper, Investment Grade & Non Investment Grade Corporate Bonds, Preferred Stock and Hybrid Securities, Structured Products (mostly for retail clients.)
- Mortgage Products: All Agency and Non Agency CMOs, ARMs and Derivatives, Asset Backed Securities and Pass Thru Securities
Successfully transformed a dormant book of regional dealers that accounted for less than $200k in revenues into an operation that was able to achieve approximately $4.5 million in annual revenue.
Vice President, Fixed Income Retail Product Marketing and Trading (1995-2000) US Bancorp Piper Jaffray, Minneapolis, MN
Co-Head of a team that was responsible for the proactive marketing of all taxable fixed income products to firm’s retail offices around the country. Personally accountable for approximately 300 retail brokers in the western and midwestern United States. Our team successfully grew fixed income revenues generated by the retail system by over 30% in our first year. Helped to implement a cross training program that allowed our product marketers to learn about all the other taxable fixed income products. Helped to create and maintain a program that allowed us to build Bond Ladders that were tailored to meet our client’s needs.
Corporate Bond Broker (1994-1995) Patriot Securities, New York, NY, (1990-1994) Murphy & Durieu, New York NY, and Brounoff Claire & Co., Inc. (1987-1989) New York, NY
Brokered new issue securities in the syndicate market. Successful in pairing together dealers and underwriters for new deals from issuer “shelves” as well as inter-dealer brokering of medium term notes (MTNs). Developed strong relationships within the regional dealer community.
LYNNE H. BRAUNSTEIN
330 Clematis Street, Suite 210, West Palm Beach, Florida 33401
Phone: 561.820.9700
lbraun@firstintegritycapital.com
EDUCATION
Muhlenberg College, Allentown, PA, B.A. 1977
EXPERIENCE
Manager, Financial Operations and Trading (Present) First Integrity Capital Partners Corp. West Palm Beach, FL
Responsible for all trade operations including settlements, new accounts and recordkeeping. Additionally will oversee the completion of monthly financials and reconciliation and assist with Firm’s compliance and registrations.
Client Services (2010-1999) Banyan Partners LLC/Oaktree Asset Management LLC
Developed and maintained client relationships and executed all trades including equities, fixed income, options and mutual funds. Download and maintenance of Advent/Axys. Reconciled and balanced accounts, generated fee statements, performance reports and portfolio appraisals.
Sales Assistant/Operations (1999-1996) Morgan Stanley/Office Specialists
Assisted Financial Advisors in sales and administrative functions including analyze, resolve and reconcile client inquiries and problems including follow-up to ensure their completion. Performed all cashiering, wire and order, bookkeeping/margin and back office functions
Merrill Lynch & Co., Inc. (1994-1980)
Vice President, Private Client Group (1990 – 1994)
Managed department as client base grew from 500 to 90,000 accounts and asset growth from $10myn to $17byn, over 4 yrs. Maintained control through systems enhancements and operating efficiencies. Significantly expedited debiting of client accounts providing quicker access to $450myn of annual client fee income. Also increased product sales by reducing time needed for flow of commissions to Financial Consultants, assuring their continued high level of participation.
Assistant Vice President; Manager, Pension Services; and Manager, Product Development (1990-1986)
Created department from ground up and developed relational database to manage growth of client base. Managed staff to ensure timely design and processing of pension plans enabling penetration of business market. Developed fee-based strategy to replace transaction orientation resulting in steady income flow
Technical Training Instructor (1986 – 1980)
Designed and conducted training programs on all products, services and computer systems. Developed and implemented the first Sales Assistant Training Program and the first New Employee Orientation Program leading to a better trained staff with reduced turnover. Provided classroom and on-the-job training for all areas of branch operations including cashiering, wire and order, bookkeeping/margin and sales assistants.
Daniel J. Dwyer
5600 River Bluff Drive, Bloomington MN 55437
Phone: 952-681-7920
CRD# 4119502
danieldwyer@firstintegritycapital.com
EDUCATION
University of St. Thomas, St. Paul, MN, B.A. 1988 - 1990. Major: Business Administration
Northern Arizona University, Flagstaff, AZ, 1985 - 1987. Business Information Systems
Registered General Securities Representative, Series 7, August 2003; Series 63, December 2006
EXPERIENCE
Managing Director (Present) First Integrity Capital Partners Corp., Bloomington, MN
Balance sheet/investment portfolio consultant with a deep capital markets/derivatives focus. Provides extensive experience in implementing and managing all capital markets applications related to the balance sheet. Specifically, this includes interest rate derivatives, wholesale funding and global interest rate strategies as they apply to the balance sheet.
Vice President/Capital Markets – Financial Institutions (2007-2010) U.S. Bank, Minneapolis, MN
Provide assistance to financial institution clients in determining strategies regarding fixed income investments, capital and funding, asset/liability management and interest rate derivatives.
Senior Vice President/Director Institutional Strategies Group (2005-2007) North American Capital Markets, LLC, Minneapolis, MN
Design and execution of all strategies related to financial institution client’s funding and hedging objectives including: structured repo transactions, interest rate derivative strategies, trust preferred and subordinated debt structures and fixed income portfolio guidance. Also, primary speaker representing firm at industry meetings and client events on topics such as interest rate derivative strategies and use of such tools.
Senior Vice President, Institutional Business Development (2004-2005) Northland Securities, Minneapolis, MN
All aspects of business development relating to the firm’s financial institution client sector including creating and implementing investment strategies. Participated as a voting member of loan committee.
Managing Director/Portfolio Solutions Group (1999-2004) U.S. Bancorp/Piper Jaffray, Minneapolis, MN
Managed integration of institutional investment strategies groups of both firms due to merger. Also included designing fixed income and asset/liability management analyses and balance sheet funding and hedging strategies.
Senior Vice President/Director of Product Development (1996-1999) Digital Visions, Inc., St Louis Park, MN
Assisted financial institutions in determining appropriate fixed income and asset/liability strategies. Responsible for all design, implementation, and interpretation aspects of the proprietary models used and output provided.
Assistant Vice President/Fixed Income Portfolio Analyst/Credit Analyst (1990-1995) Norwest Bank N.A. Minneapolis, MN
Provide analysis re all aspects of balance sheet management, asset/liability, cash flow analyses and capital strategies. Preparation of credit approval presentations on bank stock lending.
Industry related activity:
- Co-Chair Asset/Liability Management Committee (2000-2007) for a $650 million bank
Speaking engagements:
- Missouri, Minnesota, and Kansas Bankers Assoc. annual meetings (2006-2010)
- Sam Houston State University’s banking program (1999)
- Federal Financial Institutions Examination Council’s Continuing education program (1998)