Experience
2003 to present
Howard Frazier Barker Elliott, Inc.
Dallas, Texas
Position: Senior Managing Director
Duties: Financial Advisory Services, including merger and acquisition, fairness opinions, private capital raising and valuation services.
1991 to 2002
Southwest Securities, Inc.
(Includes Barre & Company, which merged into Southwest in 1995)
Dallas, Texas
Position: Executive Vice President, Head of Investment Banking
Duties: Led 15 professionals providing corporate finance advice to middle market public and private companies across the country. We managed and co-managed initial public offerings, follow-on equity and debt offerings, executed private placements and provided a full range of merger and acquisition advisory services, including fairness opinions.
1985 to 1991
Underwood, Neuhaus & Co., Inc.
(Includes successor company, 909 Corp.)
Houston, Texas
Position: Executive Vice President & Chief Operating Officer; President
Duties: As President of 909 Corp., managed complex litigation and oversaw liquidation of corporate shell. As COO, jointly managed entire company, along with the CEO, with particular emphasis on equity capital markets, corporate finance, administrative and operations.
1981 to 1985
Eppler, Guerin & Turner, Inc.
Dallas, Texas
Position: Senior Vice President, Member Management Committee
Duties: Manager of Corporate Syndicate Department, member of senior management committee of the firm.
1980 to 1981
Boettcher & Company
Denver, Colorado
Position: Special Limited Partner
Duties: Manager of Corporate Syndicate Department & Listed Securities
1974 to 1980
Stern Brothers & Co.
Kansas City, Missouri
Position: Vice President
Duties: Head of Capital Markets
1968 to 1973
Kohlmeyer & Co.
New Orleans, Louisiana
Position: General Partner
Duties: Manager of Corporate Syndicate Department
Education
University of California, Berkeley
Berkeley, California
Graduate Studies (Latin & Roman History)
June, 1967
University of California, Berkeley
Berkeley, California
Bachelor of Arts (Major: History & Latin)
Professional Affiliations
Chartered Financial Analyst
NASD Security Licenses - Series 7, 63, 24
Member - CFA Institute
Dallas Society of Financial Analysts
Former Member- Capital Markets Committee, Securities Industry Association
Former Member- National Association of Securities Dealers, Texas Business Conduct Committee
Former Member- Syndicate Committee, Securities Industry Association
Former Allied Member- New York Stock Exchange
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