Always on and ready.

brian mcmahon is chief investment strategist for thornburg investment management. brian is deeply respected for his market and investment insight and serves as a key voice for the investment team and thornburg clients. he also co-manages thornburg’s global equity portfolios and serves as vice chairman of thornburg.

brian joined thornburg in 1984 as chief investment officer; a role he held until 2019. brian served as president of the firm from 1997 to 2015 and ceo from 2008 to 2015 and was promoted to vice chairman in 2016. he managed thornburg’s laddered bond portfolios from their inceptions from 1984 until 2000 and remains actively involved in securities analysis for various thornburg portfolios.

brian holds an mba from tuck school of business at dartmouth college and a ba in economics and russian studies from the university of virginia. after receiving his mba, brian joined norwest bank in 1979, and held various corporate finance positions.

ben kirby is co-head of investments for thornburg investment management. he is responsible for driving the investment process at the firm level. ben is also a portfolio manager on multiple strategies. he joined thornburg in 2008 as equity research analyst, was promoted to associate portfolio manager in 2011, and was named portfolio manager and managing director in 2013.

ben holds a ba in computer science from fort lewis college and an mba from duke university’s fuqua school of business. prior to graduate school, ben was a software engineer at pinnacle business systems in oklahoma city, oklahoma. he is a cfa charterholder.

nicholas anderson is a portfolio manager for thornburg investment management. he joined the firm in 2016 as an equity research analyst, was promoted to senior equity research analyst in 2020, an associate portfolio manager in early 2021, and portfolio manager in late 2021.

nick holds an mba with honors from the university of chicago booth school of business and a ba with honors from the university of north carolina at chapel hill, where he was a robertson scholar. prior to joining thornburg, nick worked for prudential plc and eastspring investments in hong kong, vietnam, and singapore. he is a cfa charterholder.

matt burdett is portfolio manager for thornburg investment management. he rejoined the firm in 2015 as an associate portfolio manager and was promoted to portfolio manager in 2018. matt spent several years as a senior vice president and portfolio manager at pimco, where he co-managed various dividend-oriented strategies. prior to his time at pimco, matt worked as an equity analyst at thornburg.

matt was director of healthcare investment banking at cibc world markets / oppenheimer prior to joining thornburg in 2010. earlier in his career, he was a medicinal chemist at sunesis pharmaceuticals. matt holds an mba from the marshall school of business at the university of southern california and a bachelor's degree in chemistry from the university of california, berkeley.

steven klopukh is portfolio manager at thornburg investment management. he joined the firm in 2020 to lead thornburg’s small- and mid-cap investment strategies.

prior to thornburg, steven worked at allianz global investors, where he spent 18 years, most recently as a director and lead portfolio manager u.s. small- & mid-cap growth team. while at allianz global investors, steven managed the top-performing allianzgi mid-cap fund as lead portfolio manager since 2014. with over 20 years of investment industry experience, steven was also vice president and fundamental equity analyst at cdc investment management corp., where he collaborated on quantitatively enhanced, risk targeted large-cap core and market-neutral equity strategies. before that, he was in the investment banking associate program at morgan stanley dean witter, where he was involved in m&a, debt and equity capital raising, and consumer products corporate finance.

steven has a bs, magna cum laude, from fairleigh dickinson university and an mba with honors from the university of chicago. he is also a cfa charterholder.

emily leveille is a portfolio manager for thornburg investment management. she joined the firm in 2021.

prior to thornburg, emily was with nordea asset management in copenhagen, denmark, where she was a portfolio manager for emerging market growth strategies after initially joining as an analyst responsible for investments in latin america. before nordea, emily was an analyst with ashmore group (emerging markets management) in washington, dc, and she also worked as a consultant advising multinational corporations in latin america. emily holds a ba in politics from new york university and is a cfa charterholder.

tim mccarthy is portfolio manager at thornburg investment management. he joined the firm in 2020 to co-manage thornburg’s small- and mid-cap investment growth strategies.

prior to thornburg, tim spent 17 years at allianz global investors, where he was senior portfolio manager and director and performed research responsibilities for the u.s. small- & mid-cap growth team. he was also a portfolio manager and analyst on the small-cap team and a member of the quantitative analytics & risk strategy group. his extensive investment-industry experience includes serving as a portfolio product specialist at factset research systems, where he held responsibilities for portfolio construction, risk analysis, and performance.

tim holds a bs in business administration with a concentration in finance from the university of vermont. he is a cfa charterholder and a member of the cfa society of san francisco.

miguel oleaga is portfolio manager for thornburg investment management. he joined the firm in 2014 as an equity research analyst, was promoted to associate portfolio manager in 2017, and was named portfolio manager in 2018.

miguel holds a bs in business administration (finance and management specialties) from the university of massachusetts. prior to his joining thornburg, miguel worked at putnam investments, conducting equity analysis supporting growth, value, and dividend-focused mandates. he held a series of positions of increasing responsibility at putnam beginning in 2004.

josh rubin is portfolio manager for thornburg investment management. he joined thornburg in 2017, initially working with the global strategies before being named associate portfolio manager in 2018, and portfolio manager in 2021.

before thornburg, josh worked at driehaus capital management in chicago, where he was first an associate portfolio manager responsible for emerging markets, and then the portfolio manager of the firm’s global and certain u.s. strategies. prior to driehaus, josh co-managed the emerging markets equity strategy at marsico capital management in denver, where he was also a senior analyst covering global companies across sectors. before asset management, josh held investment banking and consulting roles.

josh earned a bsfs in international politics from the walsh school of foreign service at georgetown university.

sean sun is portfolio manager for thornburg investment management. he joined the firm in 2012 as an equity research analyst and was promoted to associate portfolio manager in 2015 and portfolio manager in 2017.

sean holds an mba with concentrations in finance and entrepreneurship from the university of chicago booth school of business and a ba in economics from the university of california at berkeley, where he was a regents’ and chancellor’s scholar. he is also a cfa charterholder. prior to joining thornburg, sean held portfolio analysis and modeling positions at bank of america. prior to business school, he was a product manager at hsbc.

lei wang is portfolio manager for thornburg investment management. he joined thornburg investment management in 2004 as associate portfolio ­manager and was promoted to portfolio manager in 2006.

lei holds a ba and an ma from east china normal university and an mba from new york university. he is a cfa charterholder. prior to joining thornburg, he served as an associate for deutsche bank as well as for enso capital management. he has also worked as a bank supervision manager at china’s central bank.

charlie wilson is portfolio manager for thornburg investment management. he joined the firm in 2012 as ­associate portfolio ­manager and was promoted to portfolio manager in 2014.

charlie earned a bs in geology from the university of arizona in tucson and a phd in geophysics from the university of colorado in boulder. prior to joining thornburg, charlie served as co-portfolio manager for marsico capital management in denver, colorado. he was responsible for portfolio investments across multiple strategies and geographies, with specialization in materials, energy, technology, and payments sectors.

neal basumullick is an associate portfolio manager for thornburg investment management. he joined the firm in 2020 as an equity research analyst, was promoted to senior equity analyst then associate portfolio manager in 2022.

prior to joining thornburg, neal worked in equity research at columbia threadneedle investments where he covered the business services and consumer staples industries and on the sellside at j.p. morgan where he gained experience in the pharmaceutical and several cyclical industries. neal holds a ba with honors in economics from cornell university college of arts & sciences, and he is a cfa charterholder.

brian burrell is an associate portfolio manager for thornburg investment management. he joined the firm in 2012 as an equity research analyst.

brian earned a ba in economics from reed college and an mba from the university of wisconsin in the applied security analysis program (asap). he is a cfa charterholder. prior to joining thornburg, brian was a business journalist and economic consultant for a variety of publications in addis ababa, ethiopia.

joe salmond is an associate portfolio manager for thornburg investment management. he joined the firm in 2018 as an equity research analyst and became an associate portfolio manager in 2021 and managing director in 2023.

joe earned an mba from the tepper school of business at carnegie mellon university and graduated from arizona state university with a bs in technology management. prior to joining thornburg, joe served as both a weapons of mass destruction and an explosive ordnance disposal team leader in the u.s. army.

joseph santos is an associate portfolio manager for thornburg investment management. he joined the firm in 2021 as a senior equity research analyst and was promoted to his current position in 2023.

prior to joining thornburg, joseph was with dws group in new york where he was an equity research analyst for the global small cap equities strategies. before dws group, he was an analyst at deutsche bank in new york. joseph earned a bsfs in international economics from the walsh school of foreign service at georgetown university.

paul ariano is a senior equity research analyst at thornburg investment management. he joined the firm in 2021.

paul spent most of his career at wall street associates in la jolla, ca, where he was a research analyst and co-portfolio manager focused on small-cap and mid-cap companies, particularly those in the health care sector. paul holds an ms in finance from san diego state university, a ba in business administration from the university of san diego, and he is a cfa charterholder.

glen hilton is a senior equity research analyst for thornburg investment management. he joined the firm in 2021.

glen spent the majority of career at invesco and its predecessor companies, where he was both a portfolio manager and senior analyst with a global focus on a variety of sectors including technology, media, telecom, and utilities. glen began his investment career as a global equity analyst at montgomery asset management, where he also co-founded the firm’s alternative energy investment strategy. glen holds a ba in economics from loyola university chicago.

julian serafini is a senior equity research analyst for thornburg investment management. he joined the firm in 2021 as an equity research analyst and was promoted to senior equity research analyst in 2022.

prior to joining thornburg, julian worked at jefferies financial group as an equity research analyst, as lead analyst in london covering the european software and payments sectors, and in new york city covering u.s. software. he also served as an equity research associate at oppenheimer & co. previously, julian spent 10 years at northrop grumman, in roles including project management, business development, and engineering.

julian holds an mba degree from the ucla anderson school of management, a ms degree in systems architecting and engineering from the university of southern california and a bs degree in mechanical engineering from worcester polytechnic institute. he is a cfa charterholder.

ben song is a senior equity research analyst for thornburg investment management. he joined the firm in 2021 as an equity research analyst and was promoted to senior equity research analyst in 2022.

prior to joining thornburg, ben worked in beijing as a portfolio manager at green fund management. he was also a portfolio manager and analyst for manulife teda fund management in beijing, and he began his career in finance as a sellside analyst for china great wall securities. ben holds an mba degree from cornell university, s.c. johnson school of business, an ms degree in mechanical engineering from tsinghua university, and a bs degree in mechanical engineering from the university of science and technology beijing. he is a cfa, frm and ciia charterholder.

mustafa arikan is an equity research analyst for thornburg investment management. he joined thornburg in 2013.

mustafa holds an mba from university of new mexico’s anderson school of management, with dual concentration in operations management and finance. he received his bs in mechanical engineering from new mexico institute of mining and technology. prior to his current role at thornburg, he worked on the firm’s marketing team in various roles.

baadal chaudhary is an equity research analyst for thornburg investment management. he joined the firm in 2021.

prior to thornburg, baadal was an analyst at steinberg asset management where he served in a generalist role. he also worked on the sellside at j.p. morgan as a part of the u.s. consumer and specialty finance team. baadal started his career as a management consultant at ey. he earned an mba with honors from the university of chicago booth school of business and received an integrated bachelors and masters in engineering degree from the indian institute of technology, delhi. he is also a cfa charterholder.

drew johnson is an equity research analyst for thornburg investment management. he joined thornburg in 2022.

drew holds an mba from unc kenan-flagler business school, with a concentration in capital markets and investments. he received his ba in finance from the love school of business at elon university. prior to thornburg, drew worked as an investment management consultant for factset research systems.

nicole lim is an equity research analyst for thornburg investment management. she joined the firm in 2022.

prior to thornburg, nicole worked as an equity analyst, covering health care, at adage capital management. she also worked at chegg, inc. in m&a and strategy and was an investment banking analyst in leveraged finance at td securities. nicole received an mba from the mit sloan school of management and a ba in economics from macalester college.

jake walko is the director of esg investing & global investment stewardship at thornburg investment management, furthering the adoption of environmental, social, and governance (esg) considerations across thornburg’s full product suite. he was named managing director in 2023. prior to joining thornburg, jake worked at neuberger berman in new york as vice president, esg investing and director of global investment stewardship. earlier in his career, he covered the technology and real estate spaces on blackrock’s investment stewardship team, as well as serving in various positions at glass, lewis, co.

jake is a graduate of the city college of the city university of new york with an ma in international relations and hunter college of the city university of new york with a ba in economics. he is currently registered with finra with a series 7 and 63 and holds the cfa institute investment foundations certificate™.

jackie nutter is an esg analyst at thornburg investment management, furthering the adoption of environmental, social and governance (esg) considerations across thornburg’s full product suite.

jackie earned an mba at the university of vermont grossman school of business’ sustainable innovation mba program, ranked no.1 best green mba by the princeton review. the capstone of this experience included a sustainability consultancy project with citigroup where jackie’s team created five esg tailored product development recommendations for citi’s vp of sustainability in order to address citi’s client unmet sustainability needs and support citi’s 2030 $1 trillion sustainable finance commitment. she also holds a bs in environmental studies from the university of vermont’s rubenstein school of environment and natural resources.

jason brady is president and ceo of thornburg investment management. he is responsible for the company’s overall strategy and direction. he is also portfolio manager on multiple strategies. he joined the firm in 2006, was made portfolio manager and managing director in 2007, and president and ceo in 2016. his book income investing: an intelligent approach to profiting from bonds, stocks and money markets is a step-by-step guide to income investing.

jason holds a ba with honors in english and environmental biology from dartmouth college, and an mba with concentrations in analytical finance and accounting from northwestern’s kellogg graduate school of management. he is a cfa charterholder. prior to joining thornburg, jason was a portfolio manager with fortis investments in boston, and has held various positions at fidelity investments and lehman brothers.

jeff klingelhofer is co-head of investments for thornburg investment management. he is responsible for driving the investment process at the firm level. jeff is also a portfolio manager on multiple strategies. he joined the firm in 2010, then was promoted to associate portfolio manager in 2012. in 2015, jeff was made portfolio manager and managing director.

jeff earned a ba in economics with a minor in business from the university of california at irvine, and an mba from the university of chicago booth school of business in 2010. he is also a cfa charterholder. prior to joining thornburg investment management, jeff spent four years with pimco, where he was responsible for monitoring portfolio leverage and risk tolerances.

david ashley is portfolio manager for thornburg investment management. he joined thornburg as associate portfolio manager in 2011 and was named portfolio manager in 2019.

dave earned a bs in finance and mba from the university of delaware in 2001. he is also a cfa charterholder. prior to joining thornburg investment management, dave was a credit analyst for wilmington trust in delaware.

john bonnell, cfa, is portfolio manager and managing director for thornburg investment management. he joined thornburg’s municipal team in 2021.

john has over 30 years of municipal bond investing experience. he spent 25 years of his career at usaa where he was most recently a senior portfolio manager and, in 2010, took on responsibility for co-leading municipal bond strategies. earlier in his career, john held credit research and municipal bond portfolio management roles at usaa. he also spent several years at strong capital management and two years at oppenheimerfunds, inc. as a senior portfolio manager.

john holds a bba in finance from the university of texas–san antonio and an mba from st. mary’s university in san antonio, texas. john is a cfa charterholder.

lon erickson is portfolio manager for thornburg investment management. he joined thornburg in 2008 and was made portfolio manager in 2010.

lon earned a ba in business administration with a minor in economics from illinois wesleyan university and an mba from the university of chicago booth school of business. he is a cfa charterholder. prior to joining thornburg investment management, lon spent almost 11 years as an analyst for state farm insurance in the equity and corporate bond departments.

ali hassan is portfolio manager for thornburg investment management. he joined the firm in 2013 as a fixed income analyst, became senior fixed income analyst in 2017 and was promoted to portfolio manager in 2021. ali graduated from stanford university with a ba in economics and a bs in mathematical & computational science.

prior to his joining thornburg, ali worked at lone star funds, zeo capital advisors, and h.i.g. capital on distressed credit and turnaround private equity investments. he began his career as a credit analyst in citigroup's loan origination and loan workout groups.

christian hoffmann is portfolio manager for thornburg investment management. he joined the firm in 2012 as a fixed income securities analyst and was promoted to associate portfolio manager in 2014, then portfolio manager in 2018.

christian graduated cum laude from new york university with a ba in economics. he is also a cfa charterholder. prior to joining thornburg, he served as a senior credit analyst with h.i.g. capital in miami, florida, where he specialized in distressed debt investments and credit driven special situations. christian began his career in the investment banking division of lehman brothers and later spent several years working on the high yield research desk at lehman brothers.

eve lando is portfolio manager for thornburg investment management. she joined thornburg's municipal team in 2019 as associate portfolio manager and was named portfolio manager in 2020.

eve holds a ba in urban studies from columbia university and a jd from brooklyn law school, with a concentration in business law studies. she has extensive experience in municipal bond research and analysis, with particular focus on deal structures and legal covenants. eve has covered sectors such as state and local government finance, public power, essential services, health care and higher education, across the investment grade and high-yield spectrum. prior to joining thornburg, she worked for over 14 years at lazard asset management, most recently as a senior vice president and municipal research analyst, and before that, she was a municipal research associate at alliancebernstein.

eve is a member of the national federation of municipal analysts and the municipal analysts group of new york and is fluent in russian and italian.

david musolf is portfolio manager, manager, liquidity operations at thornburg investment management. he joined the firm as an associate in 2007, became assistant portfolio manager in 2011 and was promoted to his current position in 2021.

david received a ba in sociology from youngstown state university in 1998. he is also a cfa charterholder. prior to joining thornburg, he worked as a senior credit analyst in the risk detection/high credit line unit of mbna/bank of america in beachwood, ohio. david was with mbna/bank of america for seven years.

ayman ahmed is an associate portfolio manager for thornburg investment management. he joined the firm in 2020 as a senior fixed income analyst and was promoted to associate portfolio manager in 2022.

prior to joining thornburg, ayman worked at driehaus capital management & black river asset management on the global fixed income and multi-asset groups with a focus on emerging market economies. ayman holds a bs in finance from the carlson school of management at the university of minnesota. he completed a continued education program from the hec school of management (paris) with a focus on international economics.

chris battistini is a senior fixed income analyst for thornburg investment management. he joined the firm in 2022.

prior to joining thornburg, chris was a structured product credit analyst and portfolio manager at conning inc., a third-party money manager. he has over 20 years experience across all structured products, particularly focused on credit-sensitive securities with firms including cbre realty finance and cigna. he is a cfa charterholder and graduated from the university of connecticut with a bs in finance.

craig mauermann, chfc, is a senior fixed income analyst for thornburg investment management. he joined the firm in 2021.

craig has over 24 years of municipal research and investment experience. he began his career at strong capital management as an analyst and trader and moved on to bmo global asset management as a founding portfolio manager. prior to joining thornburg, he was a fixed income portfolio manager at johnson financial group, where he was responsible for taxable and tax-free portfolios, individual security analysis and manager due diligence. craig earned his mba and undergraduate degrees from marquette university.

brian crider is a fixed income analyst for thornburg investment management. he joined the firm in 2020.

brian earned his ba in economics from occidental college and an mba from ucla anderson school of management. prior to thornburg, brian spent 10 years at frazier capital, where he specialized in valuing privately held businesses for transaction and lending purposes.

patrick dempsey is a fixed income analyst for thornburg investment management. he joined the firm in 2022.

prior to thornburg, patrick worked at citigroup global markets across various distribution and trading roles, most recently as a clo trader. patrick graduated from coastal carolina university with a bsba in finance.

sam snelling is a fixed income analyst for thornburg investment management. he joined thornburg in 2015.

sam graduated from university of new mexico with a bba in finance, and an as in electronics technology. prior to joining thornburg, he was an engineering technician at stryker inc., a dod-security-clearance-approved electromechanical technician with science applications international corporation, and an instructing sergeant of marines in the marine corps. sam began his career as an engineer in the marines, quickly gaining rank, commendations, and numerous medals.

todd wax is a fixed income analyst for thornburg investment management. he joined thornburg in 2010.

todd holds bba and mba degrees from texas christian university’s neeley school of business. prior to his current role at thornburg, he worked in the firm’s client portfolio management group and also held a position at fidelity investments. todd is a cfa charterholder.

arzoo mulla is a fixed income trade associate for thornburg investment management. she joined thornburg in april 2022.

arzoo graduated from lenoir rhyne university with a ba in finance and international economics. prior to thornburg, she served as a fixed income analyst at voya investment management on the agency mbs trading desk with the private credit high yield team, analyzing middle market and distressed debt. arzoo also worked on voya’s data analytics group as a junior analyst.

david bennett is director of real estate investments for thornburg investment management, leading the real estate investment strategy and product development initiative at the firm. he has extensive experience in various real estate investment capacities, with a focus on acquisitions, development, capital markets, and portfolio management. in addition to his real estate experience, he has overseen the development of operating companies in the education, health care, and technology industries.

prior to thornburg, david was founder of bennett management, an investment and advisory firm that provided consulting services to clients. he previously served as vice president at the burrell group, where he oversaw the investments, capital markets, and project management functions. the firm served as a holding company for a portfolio of individual privately held companies in the real estate, education, health care, and technology sectors. previously, david was a vice president at gemini rosemont commercial real estate, where his responsibilities included sourcing and managing deal flow, executing transaction underwriting, conducting market research, performing property due diligence, and overseeing corporate forecasting and management reporting projects.

david graduated summa cum laude from the university of southern california, where he received a bs in public policy, management, and planning and was named valedictorian of the sol price school of public policy.

daniel quinn joined thornburg investment management as a real estate investment associate in 2022 to assist with launching the firm’s inaugural closed-end real estate strategy. his responsibilities include sourcing, underwriting, and applying due diligence to new investment opportunities, as well as supporting the portfolio management team in achieving fund objectives.

prior to thornburg, daniel served as assistant vice president on senior housing investment team at aew capital management where he assisted in managing roughly $3.2 billion of portfolio aum across three closed-end private equity funds. daniel was involved in executing transactions totaling $430 million of equity investment, and served as asset manager/assistant asset manager across 26 investments valued in excess of $1 billion where he served an integral role in refinancing over $200m of debt and asset dispositions valued at approximately $300 million. prior to narrowing his focus with the senior housing team, daniel gained broad experience working across multiple property types and investment vehicle structures such as separately managed client accounts and co-mingled open-end income funds.

daniel is a santa fe native and earned his ba in business economics and urban studies from the college of wooster in ohio.

igor kuznetsov leads the portfolio analytics and risk group, a part of the investment team responsible for risk management and investment analytics at thornburg investment management. the group deploys both industry-standard and proprietary tools to gain insight into the nonlinear additive nature of portfolio construction across multiple asset classes, market environments, and desired outcomes.

igor has over 15 years of experience driving design and implementation of analytics in the financial industry and academia. prior to joining thornburg in 2017, igor spent several years as quantitative analyst at aig, where he covered multi-asset-class valuation and risk. igor has a phd in theoretical and applied mechanics from the university of illinois at urbana-champaign and an ms in physics from moscow institute of physics and technology.

dan martinez is a lead analyst, working in the portfolio analytics and risk group, a part of the investment team responsible for risk management and investment analytics at thornburg investment management. the group deploys both industry-standard and proprietary tools to gain insight into the nonlinear additive nature of portfolio construction across multiple asset classes, market environments, and desired outcomes. dan joined the firm in 2013.

dan holds bba and mba degrees from university of new mexico’s anderson school of management, with concentrations in finance, management of technology, management information systems, and operations. prior to his current role at thornburg, he held multiple senior positions in the firm’s business development and investment data analytics groups. he is a cfa charterholder.

andrew hockey is an analyst working in the portfolio analytics and risk group, a part of the investment team responsible for risk management and investment analytics at thornburg investment management. the group deploys both industry-standard and proprietary tools to gain insight into the non-linear additive nature of portfolio construction across multiple asset classes, market environments, and desired outcomes. andrew joined the firm in 2015.

andrew holds a bba from the university of new mexico’s anderson school of management, with a concentration in finance. prior to his current role at thornburg, he held multiple positions in the firm’s business development and investment operations groups. he is a cfa charterholder.

jesse brownell is global head of distribution for thornburg investment management. he is responsible for leading the sales and distribution efforts across the company's institutional, intermediary, and international lines of business. prior to his current role, jesse served as regional consultant, divisional sales director, head of us intermediary, then head of global distribution for the firm. he was elected managing director in 2020. his prior experience includes serving as regional director for highland capital management and regional consultant for hartford funds. before entering the financial services industry, jesse played professional baseball with the colorado rockies.

throughout his career, jesse has demonstrated a track record of driving outcomes and has been critical to informing the strategic direction of the distribution function at thornburg. his positive influence and perspective across the organization sets a foundation for high yet achievable results.

jesse received his bs from the university of iowa. he is currently registered with finra with a series 7, 66 and 24.

andrew rice is director of intermediary sales for thornburg investment management. before his current position, he was a regional consultant for thornburg, then divisional sales manager. andrew's prior experience includes serving as the regional director for afba 5 star investment management and as an internal wholesaler for aim investments.

andrew received his bs in finance and economics from texas a&m. he received the certified investment management analyst designation from the investment management consultants association and is currently registered with finra with a series 7 and 66.

matthew seiter is director of intermediary sales for thornburg investment management and was named managing director in 2019. prior to his current position, matthew was a senior investment consultant for thornburg. previously, he worked as a regional wholesaler for john hancock investments, covering wirehouses in nc, sc and va.

matthew earned a bs in business with an emphasis in finance and economics from the university of missouri. he is currently registered with finra with a series 7 and 66 and holds the crpc designation. matt and his wife courtney have four children and live in davidson, nc.

jeanene bettner is chief operations officer – distribution for thornburg investment management, inc. she joined thornburg in 2014 as the director of crm and in 2017 helped launch an initiative to create a sales and marketing data analytics team to support the essential need to become a data-driven firm. continuing the theme of driving and managing change across the organization, jeanene became the director of thornburg’s project management office in 2019, building a team of business analysts and project managers to support the foundational shift away from on-premise software applications to include outsourced and cloud-based infrastructure solutions to support middle- and back-office operations. after serving as chief of staff in support of thornburg’s ceo, jason brady, jeanene became the chief operations officer – distribution. in this role she leverages her technology sales, sales management and sales operations experience to help with strategic sales planning and to ensure maximum use of data, technology and tools to support the field sales personnel.

after receiving a bachelor’s degree from indiana university’s kelly school of business, jeanene started her technology-based sales career in 1982 with ibm in indianapolis, indiana, working with financial services firms. over the years as the technology industry shifted to software applications, jeanene worked for various software technology startups as well as large software entities such as sap. she shifted to sales operations and project management in 2010 and worked for early warning services (banking consortium that founded zelle) in scottsdale, arizona, prior to joining thornburg.

joe feloney is head of international for thornburg investment management. he is responsible for leading thornburg’s non-u.s. business efforts to develop and advance relationships with thornburg’s institutional and intermediary distribution partners located outside the u.s. as well as serving the nrc market.

previously, joe was a managing director at jackson with the specialized private wealth & trust team. prior to that, joe was the head of private wealth management, sub-advised, and investment-only divisions for columbia threadneedle investments. in this role, he led the private banking, ria, defined contribution, and insurance-focused teams. before that, he was responsible for offshore activities in europe and japan. in addition to a variety of business development and relationship management roles, joe has held senior-level financial and operational roles, including interim chief financial officer for one of the columbia threadneedle investments legacy firms, which he joined in 1987.

joe received a b.s.b.a. from northeastern university and an mba with a concentration in finance and investments from bentley college. in addition, he holds the chartered alternative investment analyst and certified investment management analyst designations.

leah swanson is director, sales & marketing enablement for thornburg investment management. she joined the firm in 2015 as a strategic relationships manager and was appointed director of strategic relationships and managing director in 2021. leah currently serves on thornburg’s diversity, equity and inclusion council and was chair in 2022.

prior to joining thornburg, leah was a principal and director of operations for palace capital management. before that, leah was vice president of marketing at thornburg mortgage, inc. from 2001 through 2009. she has also held sales and marketing positions at thornburg foundation realty and thornburg investment management. leah graduated with a ba from cornell university and is currently registered with finra with a series 7 and 66.

michael ordonez is co-head of strategic relationships for thornburg investment management. in this role, michael is responsible for business development across the institutional, private wealth, and consultant relationship channels, as well as key relationships with thornburg’s largest clients. prior to his current position, michael served as director of client portfolio management and business development, where he led a team of client portfolio managers responsible for the external-facing articulation of investment philosophy, process, performance and positioning to clients across all channels. additionally, he managed the business development group, responsible for helping the firm acquire and retain assets under management for prospective and current clients.

before joining thornburg in 2019, michael served as a vice president for société générale in their multi-asset product group. prior to that he worked at citigroup for 10 years in a number of roles, including investor relations, equity research sales and investment banking. he started his career at lehman brothers. michael holds a ba from dartmouth college. he is currently registered with finra with a series 7 and 63.

brian ridgeway is co-head of strategic relationships for thornburg investment management. prior to his current position, he was a senior investment consultant covering the mountain states region. brian's previous experience includes serving as regional vice president for advisors asset management and regional director for highland capital management.

brian received his bs in business administration from the university of wyoming. he is currently registered with finra with a series 7, 65, 63 and 24.

jesse brownell is global head of distribution for thornburg investment management. he is responsible for leading the sales and distribution efforts across the company's institutional, intermediary, and international lines of business. prior to his current role, jesse served as regional consultant, divisional sales director, head of us intermediary, then head of global distribution for the firm. he was elected managing director in 2020. his prior experience includes serving as regional director for highland capital management and regional consultant for hartford funds. before entering the financial services industry, jesse played professional baseball with the colorado rockies.

throughout his career, jesse has demonstrated a track record of driving outcomes and has been critical to informing the strategic direction of the distribution function at thornburg. his positive influence and perspective across the organization sets a foundation for high yet achievable results.

jesse received his bs from the university of iowa. he is currently registered with finra with a series 7, 66 and 24.

andrew rice is director of intermediary sales for thornburg investment management. before his current position, he was a regional consultant for thornburg, then divisional sales manager. andrew's prior experience includes serving as the regional director for afba 5 star investment management and as an internal wholesaler for aim investments.

andrew received his bs in finance and economics from texas a&m. he received the certified investment management analyst designation from the investment management consultants association and is currently registered with finra with a series 7 and 66.

matthew seiter is director of intermediary sales for thornburg investment management and was named managing director in 2019. prior to his current position, matthew was a senior investment consultant for thornburg. previously, he worked as a regional wholesaler for john hancock investments, covering wirehouses in nc, sc and va.

matthew earned a bs in business with an emphasis in finance and economics from the university of missouri. he is currently registered with finra with a series 7 and 66 and holds the crpc designation. matt and his wife courtney have four children and live in davidson, nc.

bill chisholm is a senior investment consultant for thornburg investment management. he covers the new jersey and eastern pennsylvania region. before joining thornburg in 2012, bill worked as senior regional vice president for dws investments, the us asset management arm of deutsche bank. prior to dws, bill was a vice president for franklin templeton investments and a regional consultant for lord abbett.

bill is currently registered with finra with a series 7 and 66. he earned a bs in finance from the pennsylvania state university in 2000.

jamie coletti is a senior investment consultant for thornburg investment management, covering the carolinas and tennessee region. before joining thornburg, jamie spent 18 years with natixis investment managers as a senior managing regional director working with financial advisors across the southeast. prior to natixis, jamie worked in multiple internal sales and service roles with fidelity, liberty funds and mfs distributors.

jamie attended western new england university and is currently registered with finra with a series 6, 7 and 63.

joe daly joined thornburg investment management in 2003 and is a senior investment consultant, serving financial professionals in the new england region. prior to joining thornburg, joe was a regional consultant with state street global advisors and served as an internal wholesaler with mfs fund distributors inc., both located in boston, ma.

joe received his bs in journalism from saint michael's college in burlington, vermont. he is registered with finra with a series 6, 7 and 66 and is a member of the fpa. joe has been in the financial services industry for over 24 years and currently resides in norwell, ma, with his wife and two sons.

bill eberle is an investment consultant for thornburg investment management, covering the long island, western connecticut and philadelphia region. prior to joining thornburg, bill spent 10 years at blackrock, most recently as a market leader serving financial advisors in the greater philadelphia region. he began his career in 2007 as an advisor for merrill lynch and holds a chartered alternatives investment analyst designation (caia).

bill is a philadelphia native and earned a bs degree in education with an emphasis in history from west chester university of pennsylvania. he currently resides in ardmore, pa, with his wife carissa and three young children lena, charlie, and francesca. in his spare time, he enjoys playing golf and spending time with his family.

greg feldman is senior investment consultant for thornburg investment management, serving financial professionals in the florida region.

before thornburg, greg worked extensively with financial advisors at lord abbett investment management for 13 years as the regional manager for south florida, covering the firm's domestic relationships before overseeing their offshore america’s division. before that, greg was a financial advisor at merrill lynch in princeton, nj. he holds a bs in finance and marketing from cornell university and is registered with finra with a series 7 and 66.

dan gasper is a senior investment consultant for thornburg investment management, covering the midwest region. before joining thornburg in 2023, dan was a senior regional director for 16 years at voya investment management as well as a registered rep for charles schwab and a sales associate at ing investment management.

dan earned a bs from arizona state university and is registered with finra with a series 7, 63, and 65. he currently resides outside chicago, il, with his wife, ashley, and their two dogs.

tyler jenkins is an investment consultant for thornburg investment management, serving financial professionals in the texas, oklahoma and louisiana region. before joining thornburg, tyler worked as a regional advisor consultant at invesco for over five years, covering the southeast. he began his career as a financial analyst at a private equity firm, primarily focused on alternative assets.

tyler earned his bachelor’s degree and an mba from texas state university. he obtained his certified investment management analyst designation through the yale school of management and is registered with finra with a series 7 and 66.

jon jurus is a senior investment consultant for the great lakes region. he joined thornburg investment management in 2016 and was appointed as managing director in 2022.

jon received his bs from american international college. prior to joining thornburg, he was a senior vice president and regional sales director for neuberger berman for four years and was a regional consultant for john hancock for five years. he is currently registered with finra with a series 7, 63, and 65.

laura kling joined thornburg investment management in 2015 as the senior investment consultant for the new york metro region. before joining thornburg, laura was a regional vice president for cohen & steers, mainstay investments, and natixis global associates.

laura earned a bs from st. lawrence university, is a cpwa certificant and is registered with finra with a series 6, 7, and 63. she has been in the financial services industry for over 15 years and currently resides in montclair, nj, with her husband, daughter and son.

troy mosconi is a senior investment consultant for the north central region. he joined thornburg investment management in 2011.

troy received his bs in management from rensselaer polytechnic institute. prior to joining thornburg, troy was a regional manager for alliancebernstein investments for nine years and a regional consultant for prudential investments for five years. he received his certified investment management analyst professional designation from the investment management consultants association in 2007 and is currently registered with finra with a series 7 and 63.

jesse neerdaels is a senior investment consultant for thornburg investment management, covering the southern california region. before joining thornburg in 2021, jesse worked as a regional vice-president at touchstone investments and was a regional director at wells fargo asset management for 16 years.

jesse is a certified financial planner professional (cfp) and certified fund specialist (cfs), and received the certified investment management analyst (cima) designation from the investment management consultants association. he is currently registered with finra with a series 7, 63, and 65 and is a member of financial planning association (fpa) of los angeles.

jesse was born in green bay, wisconsin so he is an avid fan of the green bay packers and always happy to talk football. based in los angeles, he enjoys traveling, working out, live music and jeeping in baja, mexico, with his wife jennifer and their dog aggie.

kevin parent is a senior investment consultant for thornburg investment management, covering the northern california region. before joining thornburg in 2019, kevin worked as vice president advisor consultant for hartford funds. prior to that he was with franklin templeton investments.

born and raised in sonoma county, kevin earned his bs degree from california state university, chico. he is registered with finra with a series 7, 6, and 63.

keegan parker is an investment consultant for thornburg investment management, covering the heartland region. previously, he covered the pacific northwest and northern california regions for thornburg as an advisor solutions consultant. prior to joining the firm in early 2018, keegan interned as a quantitative analyst for ips strategic capital’s options-based mutual fund in denver, co.

keegan holds a bs in business administration, with a concentration in finance, from the university of colorado and is registered with finra with a series 7 and 66.

brian perkes is a senior investment consultant for thornburg investment management, covering the texas, oklahoma and louisiana region. prior to joining thornburg in 2022, brian had a long career with oppenheimer funds, and more recently with advisor asset management where he covered all channels in texas and surrounding states.

brian earned a bs from brigham young university and an mba from the university of colorado and is currently registered with finra with a series 7, 63 and 66. brian and his wife teri have four children and live in the dallas/fort worth area.

luke rameaka is an investment consultant for thornburg investment management, covering the new england and upstate new york region. before joining thornburg, luke held roles at lazard asset management as a senior vice president as well as regional vice president at transamerica investments and john hancock investments. he started his financial services career with state street research in 2000.

luke earned a degree in communications from curry college. he has is a certified retirement product councilor and is registered with finra with a series 6, 63, 65, 77, and 33.

zachary schweiss is an investment consultant for thornburg investment management, covering the pacific northwest region. before joining thornburg in april 2020, zach held roles at franklin templeton investments as a vice president and senior wholesaler/advisor consultant, and he started his financial services career as a financial advisor with edward jones in 2009.

zach earned a degree in sociology from the university of missouri and a degree in international studies from philipps universität-marburg. he holds a cfp designation and is licensed with finra.

hal whalen is a senior investment consultant for thornburg investment management. he covers the mid-atlantic region, including md, dc, va, de and wv. before joining thornburg in 2020, hal worked as a vice president and managing regional director in the chesapeake region and as a regional director in los angeles for natixis investment managers. prior to natixis, hal worked as an investment consultant at eaton vance.

hal is currently registered with finra with a series 6, 7, 63 and 65. he earned a ba in economics from the university of vermont in 2002.

bucky woodruff is an investment consultant for thornburg investment management, covering the southeast region, including georgia, alabama and north florida. prior to joining thornburg in 2022, bucky began his career with putnam investments and most recently held the position of senior regional director with voya investment management.

bucky earned a bba in marketing from the terry college of business at the university of georgia and is currently registered with finra with a series 6, 63, 66 and 7. bucky and his wife ashleigh have three boys and live in athens, ga.

tanya schlingman is manager, advisor solutions consultant for thornburg investment management. she served as advisor solutions consultant and team lead prior to her promotion to manager in 2023. before joining thornburg in 2019, tanya worked in retail banking for 13 years, most recently as a branch manager of u.s. bank in santa fe, nm. she was awarded the sfpbw young professional of the year for 2019 and is a committee member of the next generation fund, part of the nm children's trust fund, which helps establish and fund programs for children and families in underserved communities throughout new mexico.

tanya is currently registered with finra with a series 7, 6, and 63.

april adams is an advisor solutions consultant and distribution project specialist for thornburg investment management, covering the southeast and florida region, including texas and louisiana. prior to joining thornburg in 2006, april spent 10 years at morgan stanley as a financial advisor and a registered senior client service associate. previously, she worked at both merrill lynch and quotron systems. april is also a graduate of leadership santa fe class of 2020.

april earned her master’s degree in speech communication from the university of illinois and an undergraduate degree from occidental college. she is a certified fund specialist (cfs) and is currently registered with finra with a series 7, 63, and 65.

tony joined thornburg investment management in 1998 as a broker services associate. he moved to the internal team in 2001 and currently serves the new jersey and eastern pennsylvania region and long island region. prior to joining thornburg, tony worked in customer service and support for microsoft.

tony holds a ba in psychology from the university of north texas. he received the certified investment management analyst designation from the investment management consultants association and is currently registered with finra with a series 7, 6, 63, and 66.

joaquin garcia is an advisor solutions consultant for thornburg investment management, covering the mountain states, heartland, carolinas and tennessee region. he joined the firm in 2022 as a client service specialist and was promoted to his current position in 2023. prior to thornburg, joaquin worked in various positions in the retail sales industry and completed an internship with rbc wealth management.

joaquin earned a bba in finance from the university of new mexico anderson school of management, and is registered with finra with a series 7 and 66.

isabel ozechowski is an advisor solutions consultant for thornburg investment management, covering the great lakes, ohio valley, mid-atlantic, new england and upstate new york regions. she joined the firm in 2019.

prior to thornburg, isabel worked in the hospitality industry and was a phd student at the university of new mexico, where she received a bs and ms in clinical psychology. while a phd student, isabel conducted research, saw patients, and taught undergraduate courses. more recently, isabel earned her mba in finance from the university of new mexico’s anderson school of management. she is currently registered with finra with a series 7 and 66.

isabel resides in albuquerque, nm, and enjoys cooking for her family, listening to music, attending concerts, and spending time with her husband and adult children. on nice new mexico days, you will often find her running at the park with her dog charlie.

alex salidas is an advisor solutions consultant for thornburg investment management, covering the northern and southern california and pacific northwest region. before joining thornburg in 2021, alex worked for franklin templeton investments as an internal sales representative.

born and raised in sacramento, alex earned his bs in business administration, with a focus on financial management services and economics from the university of nevada, reno. he is registered with finra with a series 7, 63 and 65.

julio rivera is an associate consultant for thornburg investment management. he joined the firm in 2022 as a client service specialist. prior to thornburg, julio worked as independent life insurance broker in new mexico and texas.

julio earned a ba in economics with a minor in business management from the university of new mexico and is working toward series 7 and 66 licenses.

yong zhang is co-head of asia (ex-japan) for thornburg investment management. he is responsible for the company’s asia business, leading the sales and distribution efforts across the company’s institutional, intermediary, and international lines of business in asia.

prior to joining thornburg, yong was executive director of goldman sachs asset management, charged with developing business in china. prior to goldman sachs, he spent a decade at state administration of foreign exchange, where, as a senior portfolio manager and business leader, he led high-performing teams that built up external managers portfolios across fixed income, equity, hedge fund and other alternatives, and also served as key person to set up safe ny co/direct investment platform.

raised in ningxia hui autonomous region in china, yong received a ma in econometrics from north china university of technology in beijing.

andrew gu is co-head of asia (ex-japan) for thornburg investment management. he is responsible for the company’s asia business, leading the sales and distribution efforts across the company’s institutional, intermediary, and international lines of business in asia.

prior to joining thornburg, andrew was executive director at cicc hong kong, charged with delta one and structured solutions. prior to cicc, he had stints at société générale, citic trust capital, and standard chartered bank in hong kong, where he was leading sales and structuring roles for the greater china region across asset classes. andrew has extensive experience in both buy and sell side roles in the u.s. and asia.

raised in shanghai, china, andrew received a ba in finance from nyu stern school of business and an mba in finance from zicklin school of business in new york.

michael ordonez is co-head of strategic relationships for thornburg investment management. in this role, michael is responsible for business development across the institutional, private wealth, and consultant relationship channels, as well as key relationships with thornburg’s largest clients. prior to his current position, michael served as director of client portfolio management and business development, where he led a team of client portfolio managers responsible for the external-facing articulation of investment philosophy, process, performance and positioning to clients across all channels. additionally, he managed the business development group, responsible for helping the firm acquire and retain assets under management for prospective and current clients.

before joining thornburg in 2019, michael served as a vice president for société générale in their multi-asset product group. prior to that he worked at citigroup for 10 years in a number of roles, including investor relations, equity research sales and investment banking. he started his career at lehman brothers. michael holds a ba from dartmouth college. he is currently registered with finra with a series 7 and 63.

brian ridgeway is co-head of strategic relationships for thornburg investment management. prior to his current position, he was a senior investment consultant covering the mountain states region. brian's previous experience includes serving as regional vice president for advisors asset management and regional director for highland capital management.

brian received his bs in business administration from the university of wyoming. he is currently registered with finra with a series 7, 65, 63 and 24.

william (bill) loehning is head of private wealth & institutional for thornburg investment management, focusing on registered investment advisors, institutional consultants, ocios, and bank trusts. he has extensive experience working with all parts of the advisor community.

prior to joining thornburg, bill was a senior advisor consultant with putnam investments, focused on the northeast. before that, bill served as a regional marketing director for the hartford, covering the wirehouses in new england and as a regional representative for john hancock for the independent channel in the chicago area. bill has a ba in economics from colgate university and is registered with finra with a series 6, 7, 24, 63, and 65. he lives in barrington, rhode island, with his wife, lauren, and children, will, harper and eve. he enjoys skiing, boating, golf, and coaching his kids.

johnathan burnham is a managing director and director of platform development for thornburg investment management. he is responsible for working with teams performing due diligence on thornburg’s investment products.

prior to joining thornburg, johnathan was the manager of investment strategy & research for advised assets group, llc, a registered investment advisor providing services to defined contribution plans. johnathan has completed the series 7 and 63 exams and is a cfa charterholder. he graduated from colorado state university with a degree in finance and was awarded an mba from the university of colorado, denver.

johnathan chairs the investment committee for national dance institute new mexico, a non-profit providing programming to almost 10,000 children in the state. he also served as the vice president of cfa society, new mexico.

stephen dedyo is director of strategic relationships for thornburg investment management. he joined the firm in 2022 with more than two decades of experience, the majority of which entailed partnering with key home-office relationships across multiple channels.

stephen has worked at alliancebernstein, janus, highland capital and was most recently as a member of the strategic investment partnerships team at ss&c alps advisors. he holds a ba from the college of the holy cross and is currently registered with finra with a series 7 and 63.

copeland filoon is director of platform development at thornburg investment management, responsible for platform business development and intermediary due diligence group relationship management. copeland joined the firm in 2017.

prior to thornburg, copeland was a director, client portfolio manager at symphony asset management, responsible for communication of portfolio attribution, strategy positioning, market outlook, and development of investment solutions for high-net-worth and institutional investors. he previously worked for franklin templeton investments as vice president, senior product manager for the franklin fixed income group. he has also held various senior-level positions at bank of america merrill lynch, new england pension consultants (nepc), mpower advisors, and standard & poor’s.

copeland received a ba in economics from vanderbilt university. he is registered with finra with a series 7 and 63 and is a cfa and caia charterholder.

james humpherson is director of platform development for thornburg investment management. he started his career at thornburg as a senior investment consultant in 2020 before being promoted to his current position in 2022. james’ extensive experience in the industry includes covering both new york and chicago as vice president for american century investments. he was also with capital group-american funds for six years.

before moving to the united states, james worked with procter & gamble in europe where he managed the accounts of their french and moroccan entities after earning his undergraduate economics degree in scotland.

julie a. geraci is global distribution operations manager of thornburg investment management and joined the firm in 2001. julie manages the various operational support functions across all distribution channels which include dcio, ucits, cits, strategic relationships, advisor solutions, private wealth and institutional. previously, julie held a retirement manager role with the dcio group from the time of its inception and was instrumental in the launch and rollout of all thornburg r share class investment offerings. she was also responsible for managing and growing home office relationships to provide support to retirement advisors. she specializes in defined-contribution investment-only plan sales and the marketing of value-added services to plan service providers, retirement plan advisors and key accounts throughout the country.

prior to joining thornburg, julie held a role with the high-net-worth syndicate team at merrill lynch. she is registered with finra with a series 24, 7, 65 and 63.

scott kent is a private wealth consultant for thornburg investment management, focusing on registered investment advisors (rias), family offices, and bank trust. he has extensive experience working with all parts of the advisor community.

prior to joining thornburg, scott was an advisor consultant with putnam investments, focused in the central and mountain states in the ria and major wirehouse channels. before that, scott served as a fixed income investment analyst for state street bank and a financial representative for northwestern mutual both based in boston, ma.

scott has a ba in business administration and international business from the university of maine, attended international business school in geneva, switzerland, and is registered with finra with a series 6, 63, 7, and 65. he lives in denver, colorado, with his wife, son, and twin daughters. he enjoys anything outdoors including skiing, boating, golfing, hiking, but, most importantly, spending time with his family, which includes his yorkshire terrier, bo.

cole kopacek is an associate director, platform development for thornburg investment management. prior to his current role, he was an investment consultant, supporting advisors in southern california and nevada. previous to joining thornburg in 2021, cole spent nearly 11 years at invesco as a senior investment consultant, where he supported wirehouse advisors, top independent teams, and select rias across california, nevada, arizona, new mexico, and texas. he began his career in the financial services industry in 2004 with wells fargo in his home state of iowa.

cole earned a bs in marketing from iowa state university and completed his bs in business management at university college cork in ireland. he is registered with finra with a series 6, 7, 63, and 65.

scott martin is a private wealth consultant for thornburg investment management, focusing on registered investment advisors (rias), family offices and bank trust. he has extensive experience working with all parts of the advisor community.

prior to joining thornburg, scott was a director within the institutional ria market at lord abbett & co. he also served as a regional vice president for both ridgeworth capital and pioneer investments. before starting a career in asset management, he served as a captain in the u.s. army and was awarded both the bronze star medal and the army commendation medal for valor in combat.

scott has a ba in environmental science from the united states military academy at west point and a ma in economics from the university of colorado, denver. additionally, he is registered with finra with a series 7, 66 and 63. he lives in denver, colorado, with his wife, katie; daughter, ellie; and australian shepherd, ruby. he enjoys anything outdoors including skiing, hiking and motorcycle travel.

danielle morrison is director of national accounts for thornburg investment management. she joined the firm in 2018 as strategic relationships manager and was promoted to director of national accounts in 2022.

prior to joining thornburg, danielle was a relationship manager with jackson national life distributors. she was also a new business development consultant for independent broker-dealer national planning holdings and an internal wholesaler for curian capital. she holds a ba from university of missouri-kansas city and an mba from colorado state university. danielle is a currently registered with finra with a series 7, 63, and 65.