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.
Elizabeth E. Kadin
Managing Director: Institutional Sales
Elizabeth Kadin joins Caris & Company from BMO Capital Markets in New York where she was a Managing Director of Institutional Equity Sales since 2003 covering primarily New York City. Prior to that, she was at Gerard Klauer Mattison (GKM) as a Senior Vice President covering institutional accounts in New York City and Canada. (BMO Capital Markets acquired GKM in 2003). She began her career at Drexel Burnham Lambert in the 1980s as a junior salesperson covering institutional accounts in Canada.
Elizabeth graduated from Dartmouth College, having majored in Philosophy and Environmental Studies and received her MBA in Finance from Columbia Business School.
Elizabeth resides in Westchester County with her husband, two children and dog. She holds both the Series 7 and 63 registrations.
Mark V. Durkin
Managing Director: Institutional Sales
Mark Durkin has over 25 years of experience on Wall Street, beginning as a copy editor at Kidder Peabody in 1985. He joined Robertson Stephens' Institutional Sales desk in 1999 and has since covered an array of technology-focused and diversified mutual-fund and hedge-fund investors in New York and Connecticut, the Mid-Atlantic and San Francisco. Mark spent almost three years in Institutional Sales at Fulcrum Global Partners, from 2002-2005, and then six years at Susquehanna International (SIG), before joining Caris & Company.
He is a 1983 graduate of Colorado College with a BA in Political Science and currently lives on Manhattan's Upper West Side with his wife Nanette and daughter Belle.
Thomas P. Rorke
Managing Director: Institutional Sales
Thomas Rorke joins Caris & Company from Credit Suisse where he covered institutional clients in the Canadian, Mid-Atlantic, Midwest, New York and Southern regions for the last 14 years. Previous to Credit Suisse, Tom worked for Wertheim Schroder where he was primarily focused on the Mid-Atlantic market.
Tom is a graduate of Wake Forest University with degrees in Psychology and Spanish. He resides in Philadelphia, PA with his wife and 2 daughters. He holds the Series 7 and 63 registrations.
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.
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.
Nathan Estep
Senior Vice President: Institutional Sales
Nathan Estep joins Caris & Company after four years in the Equity Sales Division of Credit Suisse Securities (LLC). During his tenure, Nathan covered hedge funds, foundations and mutual funds in New York and Connecticut. Prior to that, he ran internal communications for ABN AMRO Bank.
Nathan earned a Bachelor of Arts degree from Miami University of Ohio, majoring in Political Science, with a concentration in political economy and sociological theory. He enjoys stock picking and baseball. He resides in Manhattans East Village and holds the Series 7 and 63 registrations.
Boston
Kevin P. Cushing
Managing Director: Institutional Sales
Kevin Cushing joins Caris & Company from MF Global where he opened the Boston office in 2009. Prior to that he ran business development at CreditPointe. He also ran the Boston office for Wedbush Morgan Securities. He was Senior Vice President at Prudential Equity Group and Vice President at ING Barings. Kevin began his career with Monness, Crespi, Hardt & Co. in New York, NY.
Kevin received his degree in Communications from Marist College. Kevin resides in the Hingham, MA with his wife and four children. He holds both the Series 7 and 63 registrations.
Daniel R. Ferry
Senior Vice President: Institutional Sales
Dan Ferry joins Caris & Company after nearly five years at Majestic Research where he was Vice President of Sales. During his tenure, Dan covered mutual funds and the hedge fund community in Boston and the greater New York area. He opened the firm's Boston office in 2007. Dan began his career at Fidelity Investments servicing institutional accounts and broker dealers across the country. Subsequently, he was a wholesaler at AIG SunAmerica, where he covered New York State..
Dan received his B.A. in Business Administration in 1997 from the University of Southern California. He lives in the South End neighborhood of Boston with his wife and daughter. He holds both the Series 7 and 63 registrations.
Midwest/South
Mathew O. Winer
Managing Director: Midwest Institutional Sales
Matt joined Caris & Company from SunTrust Robinson Humphrey where he was a Managing Director, Institutional Sales. He joined The Robinson Humphrey Company in June 1982 in Atlanta and spent 26 years with Robinson Humphrey and it's successor company's. Matt has covered institutional accounts in the Midwest and Atlanta for most of his career.
He is a graduate of Georgia State University with a Bachelors in Business Administration. He holds both the Series 7 and 63 registrations.
Jamie Ryan Pennington
Managing Director: Institutional Sales - Texas
Jamie Pennington joined Caris & Company after covering institutional accounts in Texas for Sterne, Agee & Leach. Prior to Sterne Agee, Jamie was a Managing Director at Cantor Fitzgerald and Capital One Southcoast, focusing on the Midwest and Texas accounts. She began her career at Wachovia Securities in Atlanta.
Jamie was named one of the Atlanta's Top 40 executives under 40 years old in October 2007. She graduated with a B.S. in Communications from Vanderbilt University in 1997, where she received the Founders Medal. She lives in Atlanta with her husband and three children. She holds both the Series 7 and 63 registrations.
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.
Brian A. Miller
Managing Director: Institutional Sales
Brian Miller joins Caris & Company after 5 years at Think Equity in San Francisco. He has held sales positions at UBS Warburg, Thomas Weisel Partners, Needham & Company and began his career at Cowen & Company in New York in 1990.
Brian received his B.A. from Bucknell University in 1990. He currently lives in San Francisco with his wife Elizabeth. Brian holds the Series 7, 63 and 24 registrations.
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.
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.