Equity Research Sales Team
East Coast
Peter L. Newman
Senior Managing Director: Head of Institutional Sales and Trading
Peter Newman joined Caris and Company after 4 years at Thomas Weisel Partners where he was a Principal and Branch Manager. From 1995-2001 he was a Senior Vice President at Gerard Klauer Mattison responsible for covering institutional accounts in New York and the Midwest. Peter started his career at Prudential Securities in 1986 where his primary territories were Hartford and New York.
He is a 1985 graduate of the University of Vermont with a degree in Political Science. Peter resides in Old Greenwich, Ct. with his wife and 3 boys. Peter holds the following securities registrations: series 7, 63 and 24.
Marc T. Quinn
Managing Director: Institutional Sales
Mr. Quinn joined Caris & Company from American Technology Research, where he was a senior equity salesman covering Boston and New York. Prior to joining AmTech, he worked as an institutional sales person at C.E. Unterberg Tobin. Mr. Quinn began his Wall Street career at Kaufman Bros., applying his strong technology background stemming from 15 years experience with IBM. At IBM, Marc held various sales and client manager positions within IBM Finance and Insurance Industry Verticals. Marc had won various sales Awards being recognized as one of IBM's top salesmen.
Mr. Quinn graduated from the University of Hartford with a B.S in Finance. He has also completed the IBM Client Executive program associated with Harvard University. Mr. Quinn holds the Series 7 and 63 registrations.
Gloria Katona
Managing Director: Institutional Sales
Ms. Katona joined Caris & Company after three years at Lehman Brothers. Prior to Lehman, she spent 15 years at Wachovia Securities and its predecessors. Gloria’s entire sales career has been focused on covering institutional accounts in the Mid Atlantic. She started her career as a coverage trader at First Boston.
Gloria graduated summa cum laude from The College of New Jersey with a B.S. in Education and holds a Masters of Business Administration from Harvard University. She resides in Lawrenceville, NJ with her husband and daughter and enjoys spending time with them as well as with her extended family. A retired race car driver, her current hobbies include photography, gardening and eco-travel. Gloria holds Series 7 and 63 registrations.
Pascal Cellier
Managing Director: Canadian & International Institutional Sales
Pascal Cellier joined Caris & Company after 5 years at Soleil Securities where he built the international department. Pascal has spent his entire 20+ year Wall Street career servicing European and Canadian institutions at Hambrecht & Quist, Montgomery Securities, Barclays and Conning.
Mr. Cellier earned an MBA from the University of Harford, CT in 1986 and graduated from the Institut Superieur de Gestion in Paris, France. He holds the Series 7, 63 and 24 licenses. Pascal, a native of France, lives in Manhattan with his wife.
Sean Hanley
Managing Director: Institutional Sales
Sean K. Hanley joined Caris and Company after 17 years at Needham and Company where he was a Managing Director covering clients in New York and London. Prior to his career at Needham Mr. Hanley spent over 10 years in the high tech business holding senior sales positions with both Digital Equipment Corporation and Sun Microsystems. Mr. Hanley has a B.S. In Economics from SUNY at Oneonta and holds series 7,63, and 24 designations.
Douglas Johnson
Senior Vice President: Institutional Sales
Douglas Johnson has over 17 years of experience covering major mutual fund families, hedge funds and investment advisors at the research sales and sales trading levels, with the last four years at RBC Capital Markets. Mr. Johnson began his sell-side career at Donaldson, Lufkin & Jenrette where he was a multi-year Chairman’s Club member and continued through the Credit Suisse-First Boston merger prior to joining RBC.
Mr. Johnson graduated from St. Lawrence University in 1984 with a B.A in Political Science and also holds a Masters of Business Administration from Pace University’s Lubin Graduate School of Business. He enjoys salt and freshwater fly-fishing, platform tennis, golf and skiing and resides in Locust Valley, NY with his wife and two sons. Douglas holds Series 7, 63 and 65 registrations.
Michael Goodman
Managing Director: Institutional Sales
Michael Goodman has over fifteen years of experience in institutional sales, the last four years as a top producer and Senior Vice President at Oppenheimer and Company. Prior to Oppenheimer Michael spent five years with UBS as a Director covering institutional accounts in New York, Canada, the Mid Atlantic and the Mid West He previously covered much of the same territory for Montgomery Securities (later Bank of America). Michael began his institutional sales career as a Senior Vice President at Dillon Read. His Wall Street career began with ten successful years as a Senior Vice President in the high net worth division of Lehman Brothers.
Michael graduated from Long Island University with a B.A. in History and attended graduate school at New York University and currently holds the Series 7 and 63 registrations. Michael enjoys reading, film, tennis and golf. He, his wife Joyce, and two children live in the Great Neck, New York.
Lee J. Gaskell
Senior Vice President: Institutional Sales
Mr. Gaskell has over 30 years experience in the financial services industry, both on the buy and sell sides. He joined Caris & Company from Kaufman Bros., where he was a Senior Vice President covering East Coast, Midwest, and West Coast institutions. He has worked at the United States Trust Co. of New York as a portfolio manager and section head. Before Kaufman Bros., Mr. Gaskell was an equity sales person at Bear Stearns, Eberstadt Fleming, and SoundView Technology Group.
Mr. Gaskell graduated with a Bachelor or Arts degree from Williams College, majoring in Economics, and has taken specialized financial markets courses at the New York Institute of Finance. He holds Series 7 and 63 registrations.
Steve Conroy
Senior Vice President: Institutional Sales
Steve Conroy has over 11 years of experience in institutional equity sales, most recently as Senior Vice President with FBR Capital Markets in Arlington, Virginia. He helped develop FBR’s growth product which today is a major feature of the firm’s research platform. In his time at FBR, Mr. Conroy was consistently a top 10 producer. Prior to FBR, Steve spent 13 years in outside sales with Pitney Bowes where he was recognized as a top sales producer both locally in Washington DC and nationally.
Steve is actively involved with the Leukemia & Lymphoma Society’s Man & Woman of Year campaign. He resides in McLean, Virginia with his wife and two children. He enjoys golf, traveling and spending time with his family. Steve holds series 7 and 63 securities registrations.
Sheilah McFadden
Vice President: Institutional Sales
Ms. McFadden joins Caris & Company from Credit Suisse where she covered institutional clients in the mid-Atlantic region for the last 5 ½ years. Previous to Credit Suisse, Sheilah worked for ABN AMRO and covered accounts in the Midwest. Prior to returning to graduate school, Sheilah also worked at Bear Stearns and Merrill Lynch.
Sheilah is a graduate of Saint Mary’s College with a BA in History and received an MBA from University of Notre Dame with a concentration in Finance. She holds the Series 7 & 63 registrations.
Bryan P. Katz
Vice President: Institutional Sales
Mr. Katz joins Caris & Company from SG Cowen Securities. Bryan proved himself on the operations side at SG Cowen and was promoted to the trading desk where he has spent the last 4 years as an Institutional Sales Trader covering domestic and international accounts. Prior to SG Cowen, he worked as a portfolio administrator at Bankers Trust & Co and also interned at Merrill Lynch in London, England during his tenure at school.
Bryan graduated from the University of Delaware in 1997 with a B.S. in Business Administration with a Finance concentration. Bryan holds both the Series 7 & 63 registrations.
Julia Rominger
Vice President: Institutional Sales
Ms. Rominger joins Caris & Company from Wachovia Capital Markets. Julia spent a year and a half on the Equity Product Marketing desk before she was promoted to an Institutional Sales position covering accounts in the Midwest.
Julia graduated with a Bachelor of Arts in History from Williams College in 2006. She is actively involved in mentoring New York City public high school students through iMentor, and enjoys horseback riding, squash and running. Julia holds both the Series 7 and 63 registrations.
Boston
Sherri L. Spear, CFA
Managing Director: Institutional Sales
Sherri joined Caris & Company from Wachovia Securities where she was a Managing Director in the Boston office in Institutional Sales. Previously, she was at Lehman Brothers for more than 13 years both in Boston and New York in Institutional Sales, Proprietary Trading, Equity Research and Investment Banking.
Sherri graduated from Northwestern University in 1990 with a BA in Economics & Political Science. She is a CFA Charter holder and holds series 7 & 63 registrations. She lives in Brookline, MA with her husband and two children. She was also featured in a short-lived tv series on Lifetime called "The Wire" as the financial expert.
West Coast
Michael S. Gilman
Managing Director: Institutional Sales
Mike Gilman has over twenty years of experience in institutional sales, the last seven years as a top producer and Senior Vice President, Institutional Equity Sales at Wedbush Morgan Securities. Prior to Wedbush Morgan, he was a Senior Vice President, Equity Sales at Friedman, Billings and Ramsey and a Vice President, Equity Sales at Sutro and Company. Mike began his Wall Street career as an institutional fixed income salesman, the first eleven years as a Vice President at Smith Barney and Company, followed by similar roles at Citicorp Securities and Sutro and Company.
Mike received his B.A. in Economics and Psychology in 1976 from Trinity College (CT) and his M.B.A. in Finance from the University of Chicago in 1980. Mike enjoys running and music. He, his wife, and two daughters live in the Hancock Park area of Los Angeles.
Tim Kallas
Managing Director: Institutional Sales
Tim Kallas joined Caris and Company from Oppenheimer where he was head of west coast sales and trading. Tim brings with him 15 years of experience in Institutional Equity Sales as a producer and production/manager. Tim started his career in 1993 at Bear, Stearns in Los Angeles and also worked for JP Morgan and Robertson Stephens with account focus from Denver to the rest of the West Coast. Prior to 1993, Tim served on active duty for five years in the US Army as an Infantry Officer, resigning as a Captain. He is a graduate of the US Army’s Ranger School.
Tim graduated in 1987 with a B.S. in Business Management from California State Polytechnic University and holds the following securities registrations: 7, 24 and 63. Tim resides in Marin and has two children.
Norman J. Caris
Senior Vice President: Institutional Sales
Mr. Caris brings over 40 years of Institutional Sales experience to Caris & Company. He began his career at Paine Webber Jackson Curtis, where he achieved significant milestones as the firm�s top broker over a 10 year span. He was the youngest person in the state of California to obtain a securities brokerage registration, ranked in the firms top 50 producers within his first 5 years, top 5 between 1965-1966, and number one from 1967-1970. From 1970-1977, he helped found Seidler, Arnet Spillne (Currently Seidler Amdec), and was the firm's number one producer. In 1977, Mr. Caris joined Bateman Eichler Hill Richards, and was also the firm�s number one institutional salesman. From 1983-1990, he worked as the number one institutional salesman at Wedbush Morgan Securities, and held the same honor from 1990-2003 at Gruntal & Company, where he was the Managing Director of Institutional Sales. Mr. Caris has significant experience in Investment Banking as well, having assisted in taking dozens of companies public over the years. His clients rate among Wall Street's top investors and his innovative ideas have helped to grow the portfolios of the world's largest mutual funds.
Greg Feldman
Senior Vice President: Institutional Sales
Mr. Feldman joins Caris & Company after four years at research boutique Avondale Partners where he was an equity salesman servicing institutional clients in the New York and Connecticut area. Prior to his tenure at Avondale, Greg serviced both institutional clients and high net worth individuals at Salomon Smith Barney in Atlanta, Georgia where he began his career in 1998.
Originally from northern New Jersey, Greg has a B.S. in Economics from Emory University in Atlanta as well as an M.B.A. in Finance from the Goizueta Business School at Emory University. He holds the Series 7, 63 & 65 licenses.
Chris Fessenden
Vice President: Institutional Sales
Mr. Fessenden has been with Caris & Company since inception. He came to Caris & Company with prior trading experience at Granite Financial Group. Mr. Fessenden was involved in several successful start-up ventures before entering the financial profession. He combines an entrepreneurial background with specific experience in action sports retail and manufacturing, general aviation, media, and technology.
Mr. Fessenden graduated from the University of California San Diego with a Bachelor of Arts degree in Political Science. He holds the Series 7, 55, and 63 registrations and a private pilot's license. He resides in Del Mar, CA with his wife and daughter.