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Security Traders Association of Florida

Annual ConferenceFebruary 12-14, 2016

Orlando, Florida

Platinum Sponsor:

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Equities Capital Markets Derivatives International Equities Commission Management

Focused on results for over 40 years

JonesTrading Institutional Services LLC. Member FINRA, SIPC. www.JonesTrading.com

Charlie McBride considers the opportunity

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Welcome to Our 36th Annual ConferenceWelcome to the 36th annual STA Florida Conference! We thank all of you for traveling from near and far, braving our local weather, to join us in beautiful Orlando, Florida. I would like to especially thank our sponsors; their generous contributions allow us to spend this time together at this beautiful resort, discussing key issues affecting our industry and supporting a great cause. This year we will be honoring the Florida Veterans Foundation. The FVF serves, supports, and advocates for Florida veterans to improve their wellbeing through fundraising, special projects, and service. Established in 2008, the Foundation’s main mission is to provide emergency assistance to Florida veterans and their families who, through no fault of their own, are experiencing financial difficulties that cannot be resolved by the veteran or other veteran service organizations. The Foundation is composed of an all-volunteer Board of Directors, most of whom are retired, military disabled veterans dedicated full-time to assisting our veterans with the myriad of challenges they face on a daily basis. This includes providing access to quality healthcare, education, and jobs, as well as advocating for mental health and providing financial assistance to combat homelessness. Thank you to our STA Florida Board of Directors, most importantly our former President, Mrs. Janice Morgan Hilsman and Event Planner, Erika Sasser. Janice and Erika have been instrumental in planning this great weekend for us. Thank you to our panel moderators, Mrs. Holly McHatton Johnston and John Russell, as well as our panelists for participating in our discussions and sharing your insight. I am very excited about the conference we have planned ahead of us and thank each of you again for joining us. Whether engaging our panelists, networking, or enjoying our many planned activities, please enjoy the weekend.

Best Regards,Jacob RappaportSTA Florida PresidentINTL FCStone Financial Inc.

Equities Capital Markets Derivatives International Equities Commission Management

Focused on results for over 40 years

JonesTrading Institutional Services LLC. Member FINRA, SIPC. www.JonesTrading.com

Charlie McBride considers the opportunity

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Thank You to the Sponsors of the 2016 Annual

ConferencePLATINUM

BRONZE

SILVER

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FRIENDS

A division of Sterne, Agee & Leach, Inc.The Interstate Group

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OFFICE OF THE MAYOR ORLANDO CITY HALL • 400 SOUTH ORANGE AVENUE • PO BOX 4990 • ORLANDO, FLORIDA 32802-4990

PHONE 407-246-2221 • FAX 407-246-2842 • www.cityoforlando.net

Greetings, As Mayor of the City of Orlando, it is my pleasure to welcome you to “The City Beautiful” and to the Security Traders Association of Florida 2016 Annual Conference. Orlando is known internationally because of our many theme parks that draw millions to the City every year. Our Florida weather is inviting, almost always warm and sunny—perfect for outdoor activities such as biking, boating, swimming, fishing, kayaking, hiking and beaches are less than an hour drive away. And that’s only the beginning. The City of Orlando is one of the fastest growing, most business-friendly and quality of life-centered cities in America located at the center of a dynamic metropolitan area of more than two million people. Orlando has a $15.7 billion modeling-and-simulation industry, a well-established and growing digital media industry, as well as a burgeoning life sciences cluster known as the Medical City in Lake Nona. Orlando has the 13th-busiest airport in the U.S. with flight connections all over the world. Underneath a skyline that has doubled in just the last ten years, our dynamic, bustling Downtown is – the heart of our City Beautiful. Downtown Orlando is the economic engine driving the future of all of Central Florida’s economy. With residential, retail and commercial development; a diversified and thriving economy, our urban core is not only a hub for Central Florida, but for the entire State. Our vibrant Downtown is alive with fine dining, exciting night life, fabulous shopping, year-round outdoor activities, arts and culture, world-class venues, professional sports and abundant parks, including Orlando’s crown jewel, Lake Eola Park. Our eight Main Street districts -- Audubon Park Garden District, Church Street District, College Park Partnership, Downtown South, Ivanhoe Village, Mills 50, Semoran Business Partnership and Thornton Park – each have a distinctive identity and boast a variety of family-owned restaurants, retail shops, boutiques, antique and collectible markets and art studios. We are happy to have you here and hope you enjoy taking part in the wonderful experiences that can only be found here. Sincerely,

Buddy Dyer Mayor

BOSTON SECURITY TRADERS ASSOCIATION • CANADIAN SECURITY TRADERS ASSOCIATION • CAROLINA SECURITY TRADERS ASSOCIATION • SECURITY TRADERS ASSOCIATION OF CHICAGO SECURITY TRADERS ASSOCIATION OF CONNECTICUT • DALLAS SECURITY TRADERS ASSOCIATION • DENVER SECURITY TRADERS ASSOCIATION • SECURITY TRADERS ASSOCIATION OF FLORIDA

GEORGIA SECURITIES ASSOCIATION • KANSAS CITY SECURITIES ASSOCIATION • SECURITY TRADERS ASSOCIATION OF LOS ANGELES • MID-ATLANTIC SECURITY TRADERS ASSOCIATION MID-SOUTH SECURITY DEALERS ASSOCIATION • MINNESOTA SECURITY DEALERS ASSOCIATION • MONTREAL INSTITUTIONAL EQUITY TRADERS ASSOC. • SECURITY TRADERS ASSOCIATION OF NEW YORK

OHIO SECURITY TRADERS ASSOCIATION • INVESTMENT TRADERS ASSOCIATION OF PHILADELPHIA • PITTSBURGH STOCK & BOND ASSOCIATION • SECURITY TRADERS ASSOCIATION OF PORTLAND, OREGON SAN FRANCISCO SECURITY TRADERS ASSOCIATION • SEATTLE SECURITY TRADERS ASSOCIATION • SECURITY TRADERS ASSOCIATION OF ST. LOUIS • INSTITUTIONAL EQUITY TRADERS ASSOCIATION OF TORONTO

VANCOUVER SECURITY TRADERS ASSOCIATION • SECURITY TRADERS ASSOCIATION OF WISCONSIN

1115 Broadway, Suite 1110• New York, NY 10010 • tel (646)699-5995• STA@securitytraders.org • www.securitytraders.org

Chairman of the Board JOHN RUSSELL Franklin Templeton Investments San Mateo, CA President & CEO JAMES TOES Security Traders Association New York, NY Vice Chairman JON SCHNEIDER ITG, Inc. Kansas City, MO Treasurer DOUG CLARK ITG Canada Corp Toronto, Ontario CAN Secretary MIKE RASK Hodges Capital Dallas., TX Past Chairman RORY O’KANE KCG Chicago, IL GOVERNORS PAT ARMSTRONG Prime Executions, Inc. San Francisco, CA NATALIE CARPENTER Longbow Research San Francisco, CA TIM CASEY Cabrera Capital Boston, MA ANDREW D’AMORE KCG Chicago, IL KNUT GREVLE B. Riley Los Angeles, CA JODIE MROTEK Henderson Geneva Capital Management Milwaukee, WI ANDY NYBO Tabb Group New York, NY NICK OTTE Scottrade St. Louis, MO ALEX PEREL TD Securities Toronto, Ontario CAN BILL VANCE Imperial Capital New York, NY CHRISTOPHER WILSON Capital International Investors Los Angeles, CA

January 21, 2016 Dear STA Members, On behalf of the Officers and Governors of the Security Traders Association, it is our pleasure to welcome each of you to the Security Traders Association of Florida’s 36th

Annual Conference. We look forward to an outstanding program offering relevant content and premiere networking events at the Waldorf Astoria Orlando. STA Florida represents a valuable component of STA’s membership. As associations who rely on the voluntary efforts of individuals, STA Florida and STA are united by the common goal of helping members through education and representation. In the upcoming presidential election year, STA’s voice and positioning in DC is as critical as ever. We have long held that the proper balance of regulation and competition yield the most effective markets. The emotional and political forces in market regulation must be resisted in favor of change resulting from empirical evidence, cost/benefit analysis and full due process. We hope that you will engage in our nonpartisan efforts in Washington DC. We congratulate Jacob Rappaport, INTL FCStone for his strong leadership of STA Florida and wish him continued success. Warmest Regards,

John Russell Jim Toes Chairman of the Board President & CEO

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OFFICE OF THE MAYOR ORLANDO CITY HALL • 400 SOUTH ORANGE AVENUE • PO BOX 4990 • ORLANDO, FLORIDA 32802-4990

PHONE 407-246-2221 • FAX 407-246-2842 • www.cityoforlando.net

Greetings, As Mayor of the City of Orlando, it is my pleasure to welcome you to “The City Beautiful” and to the Security Traders Association of Florida 2016 Annual Conference. Orlando is known internationally because of our many theme parks that draw millions to the City every year. Our Florida weather is inviting, almost always warm and sunny—perfect for outdoor activities such as biking, boating, swimming, fishing, kayaking, hiking and beaches are less than an hour drive away. And that’s only the beginning. The City of Orlando is one of the fastest growing, most business-friendly and quality of life-centered cities in America located at the center of a dynamic metropolitan area of more than two million people. Orlando has a $15.7 billion modeling-and-simulation industry, a well-established and growing digital media industry, as well as a burgeoning life sciences cluster known as the Medical City in Lake Nona. Orlando has the 13th-busiest airport in the U.S. with flight connections all over the world. Underneath a skyline that has doubled in just the last ten years, our dynamic, bustling Downtown is – the heart of our City Beautiful. Downtown Orlando is the economic engine driving the future of all of Central Florida’s economy. With residential, retail and commercial development; a diversified and thriving economy, our urban core is not only a hub for Central Florida, but for the entire State. Our vibrant Downtown is alive with fine dining, exciting night life, fabulous shopping, year-round outdoor activities, arts and culture, world-class venues, professional sports and abundant parks, including Orlando’s crown jewel, Lake Eola Park. Our eight Main Street districts -- Audubon Park Garden District, Church Street District, College Park Partnership, Downtown South, Ivanhoe Village, Mills 50, Semoran Business Partnership and Thornton Park – each have a distinctive identity and boast a variety of family-owned restaurants, retail shops, boutiques, antique and collectible markets and art studios. We are happy to have you here and hope you enjoy taking part in the wonderful experiences that can only be found here. Sincerely,

Buddy Dyer Mayor

BOSTON SECURITY TRADERS ASSOCIATION • CANADIAN SECURITY TRADERS ASSOCIATION • CAROLINA SECURITY TRADERS ASSOCIATION • SECURITY TRADERS ASSOCIATION OF CHICAGO SECURITY TRADERS ASSOCIATION OF CONNECTICUT • DALLAS SECURITY TRADERS ASSOCIATION • DENVER SECURITY TRADERS ASSOCIATION • SECURITY TRADERS ASSOCIATION OF FLORIDA

GEORGIA SECURITIES ASSOCIATION • KANSAS CITY SECURITIES ASSOCIATION • SECURITY TRADERS ASSOCIATION OF LOS ANGELES • MID-ATLANTIC SECURITY TRADERS ASSOCIATION MID-SOUTH SECURITY DEALERS ASSOCIATION • MINNESOTA SECURITY DEALERS ASSOCIATION • MONTREAL INSTITUTIONAL EQUITY TRADERS ASSOC. • SECURITY TRADERS ASSOCIATION OF NEW YORK

OHIO SECURITY TRADERS ASSOCIATION • INVESTMENT TRADERS ASSOCIATION OF PHILADELPHIA • PITTSBURGH STOCK & BOND ASSOCIATION • SECURITY TRADERS ASSOCIATION OF PORTLAND, OREGON SAN FRANCISCO SECURITY TRADERS ASSOCIATION • SEATTLE SECURITY TRADERS ASSOCIATION • SECURITY TRADERS ASSOCIATION OF ST. LOUIS • INSTITUTIONAL EQUITY TRADERS ASSOCIATION OF TORONTO

VANCOUVER SECURITY TRADERS ASSOCIATION • SECURITY TRADERS ASSOCIATION OF WISCONSIN

1115 Broadway, Suite 1110• New York, NY 10010 • tel (646)699-5995• STA@securitytraders.org • www.securitytraders.org

Chairman of the Board JOHN RUSSELL Franklin Templeton Investments San Mateo, CA President & CEO JAMES TOES Security Traders Association New York, NY Vice Chairman JON SCHNEIDER ITG, Inc. Kansas City, MO Treasurer DOUG CLARK ITG Canada Corp Toronto, Ontario CAN Secretary MIKE RASK Hodges Capital Dallas., TX Past Chairman RORY O’KANE KCG Chicago, IL GOVERNORS PAT ARMSTRONG Prime Executions, Inc. San Francisco, CA NATALIE CARPENTER Longbow Research San Francisco, CA TIM CASEY Cabrera Capital Boston, MA ANDREW D’AMORE KCG Chicago, IL KNUT GREVLE B. Riley Los Angeles, CA JODIE MROTEK Henderson Geneva Capital Management Milwaukee, WI ANDY NYBO Tabb Group New York, NY NICK OTTE Scottrade St. Louis, MO ALEX PEREL TD Securities Toronto, Ontario CAN BILL VANCE Imperial Capital New York, NY CHRISTOPHER WILSON Capital International Investors Los Angeles, CA

January 21, 2016 Dear STA Members, On behalf of the Officers and Governors of the Security Traders Association, it is our pleasure to welcome each of you to the Security Traders Association of Florida’s 36th

Annual Conference. We look forward to an outstanding program offering relevant content and premiere networking events at the Waldorf Astoria Orlando. STA Florida represents a valuable component of STA’s membership. As associations who rely on the voluntary efforts of individuals, STA Florida and STA are united by the common goal of helping members through education and representation. In the upcoming presidential election year, STA’s voice and positioning in DC is as critical as ever. We have long held that the proper balance of regulation and competition yield the most effective markets. The emotional and political forces in market regulation must be resisted in favor of change resulting from empirical evidence, cost/benefit analysis and full due process. We hope that you will engage in our nonpartisan efforts in Washington DC. We congratulate Jacob Rappaport, INTL FCStone for his strong leadership of STA Florida and wish him continued success. Warmest Regards,

John Russell Jim Toes Chairman of the Board President & CEO

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The Security Traders Association of Florida would like to thank our sponsors

who make this conference possible!

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Proud Sponsor of Security Traders Association of Florida

Who do I call?What do I say?

Introducing...

Fidessa Prospector...natural liquidity at your fingertips

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Board of DirectorsOfficers:

President

Jake Rappaport, INTL FCStone Financial Inc.

Vice President

Holly McHatton Johnston, Franklin Templeton

Second Vice President

Charlie McBride, JonesTrading

Secretary

TBD

Treasurer

Janice Morgan Hilsman, INTL FCStone Financial Inc.

Immediate Past President

Janice Morgan Hilsman, INTL FCStone Financial Inc.

Directors:

Brian Barrett, Franklin Templeton

Philip Geha, JonesTrading

John Finn, Polen Capital Management

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Conference Agenda36th Annual Conference - Waldorf Astoria Orlando

Orlando, FL - “It’s a Family Affair”

Friday, February 12, 2016 1:00 pm – 5:00 pm Conference Registration Sir Harry’s Lounge 6:30 pm – 9:30 pm President’s Family Reception Clubhouse Resort Attire (Featuring DJ David)

Saturday, February 13, 2016 8:00 am – 3:00 pm Conference Registration Sir Harry’s Lounge

8:30 am – 12:30 pm Golf Outing Waldorf Astoria Golf Club (Pre-registration required.)

12:00 pm – 2:00 pm Lunch Sponsored by INTL FCStone Financial Inc. Promenade (Weather back-up, Bull & Bear) Resort Attire

6:30 pm – 9:30 pm Cocktail Reception Sponsored by JonesTrading Grand Ballroom Resort Attire (Food service, 6:30 pm – 8:30 pm; Open bar, 6:30 pm – 9:30 pm) (Featuring DJ David)

6:30 pm – 10:30 pm “Kid’s Night Out… Calling All Superheroes” Broadway & Carnegie (Children can come dressed as their favorite superhero).

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36th Annual Conference - Waldorf Astoria Orlando Orlando, FL - “It’s a Family Affair”

Sunday, February 14, 2016 8:00 am – 9:00 am Board Meeting (By invitation only) Bull & Bear Private Dining Room

8:00 am – 9:00 am Buffet Breakfast Sponsored by Fidessa Bull & Bear Resort Attire

9:30 am – 9:45 am STA National Update John Russell, Chairman of the Board Bull & Bear

9:45 am – 11:15 am Market Structure Panel, “A Discussion of Reg ATS and Alternative Trading System (ATS) Reporting” Bull & Bear Moderator: John Russell, Franklin Templeton

Panelists: Jay Biancamano, Fidessa Philip Pearson, ITG Chris Nagy, Healthy Markets Association Richard Levin, Bryan Cave

11:30 am – 1:00 pm Buy-Side Panel, “How to Deal with Volatile Markets from a Buy-Side Perspective and Doing More with Less” Bull & Bear

Moderator: Holly McHatton Johnston, Franklin Templeton

Panelists: Lisa Utasi, ClearBridge Investments Brian Barrett, Franklin Templeton Keith Collazo, Tocqueville Asset Management Dallas Lundy, Atlanta Capital Management Company Kenneth Jackson, Herndon Capital Management Vince Ficca, Eagle Asset Management

Conference Agenda

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Market Structure PanelSunday, February 14, 2016

“A Discussion of Reg ATS and Alternative Trading System ATS Reporting” MODERATOR:

John RussellSenior Vice President of Global Trading, Franklin Templeton

John Russell is a Senior Vice President of Global Trading for Franklin Templeton based in San Mateo California. John has been in the Investment Management business for more than 21 years, all of which at Franklin Templeton. During his career at Franklin Templeton, John has held various positions including foreign exchange trader, global fixed income and equities trader, US options trader and US equities trader/head trader, which he has held for the last 13 years. John has recently assumed a new role responsible for Risk and ECM for the equity trading and portfolio teams at Franklin Templeton. This will compliment his continued trading responsibilities.

John has been an active member on the STA Board of Directors since 2008, currently serving as Chairman. Previous to the National BOD, he was also active in the local affiliate serving on the San Francisco Security Traders’ BOD from 2001 to 2007, and as President in 2006. John holds active roles in other industry committees namely the STA Institutional Committee and the NASDAQ Quality Markets Committee.

Mr. Russell resides in Manhattan Beach, California with his wife and three children.

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PANELISTS:

Jay BiancamanoSenior Vice President, Fidessa

Jay heads Equities Product Marketing for Fidessa Corp in the Americas. The Equities Product Marketing team is responsible for developing and growing Fidessa’s product offerings and client base. He is considered one of the foremost experts on dark pools and electronic trading market structure having built and designed many successful products in the space. Jay is now specifically focused on bringing innovative solutions to Fidessa’s sell side clients.

Prior to joining Fidessa, Jay founded Hoyvin Inc. where he pioneered a platform that used artificial intelligence and human-computer interaction to source alpha in social media. In 2011 he took over as Executive Chairman and acting CEO of Pipeline Trading, a leader in predictive analytics and algorithmic trading. Beginning in 2003 he headed Liquidnet’s Corporate Strategy group where he led Liquidnet’s strategy from singular dark pool to expansion into active trading. During his tenure Jay lead the development of several new products including the H2O ATS and their quantitative suite. Earlier Jay joined ITG Inc. as Director of Compliance and subsequently headed Business Development where he was part of the team that introduced such innovations as algorithmic trading, transaction cost analysis and ATS surveillance tools.

Jay holds a B.S. in Finance from Rutgers University, a M.B.A. in International Business from Fordham University and an Executive Certificate from Wharton in Strategic Alliances.

Philip PearsonAlgorithmic Consulting and Analytics, ITG

Philip Pearson, CFA, runs the Algorithmic Consulting and Analytics business at ITG. In this role, he is responsible for creating client- reporting products as well as helping ITG’s clients understand their

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algo usage and trading performance. He writes regularly about market structure and trading topics with a focus on data-driven analysis.

Phil joined ITG in 2008. He began his tenure as a Product Manager in the algorithmic trading group. Phil was responsible for dark pool aggregation products, including the creation of POSIT Marketplace®, as well as other ITG Single Stock Algorithms®. Phil began his career on this institutional trading desk at E*Trade Capital Markets. He holds his CFA designation and graduated from Colgate University with degrees in Economics and History.

Chris NagyDirector, Healthy Markets Association

Chris Nagy is a 30-year veteran of Wall Street with deep retail trad-ing and US market-structure expertise. Chris co-founded and serves as board member of the Healthy Markets Association. Chris is also founder & CEO of KOR Group LLC, a market structure analytics and advisory firm. Nagy previously was a managing director of order routing, sales strategy and market-data strategy at TD Ameritrade where his responsibilities included developing and implementing best execution, routing technology and execution analytics, as well as developing routing and execution strategy. During his 12+ years with TD Ameritrade, Nagy also co-headed the firm’s government rela-tions efforts. Prior to his time at TD Ameritrade, Nagy worked with US Bank, MJK and Shearson Lehman Brothers. Nagy has served on a multitude of industry committees and exchange boards, including the Philadelphia Stock Exchange Board, NYSE AMEX Options Exchange Board, Nasdaq Quality of Markets Committee, Security Traders Association Trading Issues Committee, Options Industry Council Roundtable, and SIFMA Options Committee.

Nagy also holds his FINRA Series 4, 7, 24, 53, 55, and 63 Licenses, and is a graduate of the Securities Industry Institute Wharton Program.

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Richard LevinDirector, Bryan Cave

Richard B. Levin’s practice focuses on the representation of early stage and publicly traded companies in the financial services industry, including broker-dealers, hedge funds, alternative trading systems (ATSs), exchanges, and digital currency platforms. He represents these firms before the SEC, the CFTC, and FINRA. Richard has represented clients before regulators in Australia, Canada, Hong Kong, Japan, and the United Kingdom.

Mr. Levin played a leadership role in the launch of two joint ventures of leading investment banks, including: Bank of America, Barclays, BlackRock, Citibank, Credit Suisse, Deutsche Bank, Goldman Sachs, JPMorgan Chase, Knight Capital Group, Merrill Lynch, Morgan Stanley, Northern Trust, State Street, and UBS, and also served in senior legal, business, and compliance positions in publicly traded and privately held financial services firms.

Before entering private practice, Richard was the Global Head of Product Development for Compliance and Operations for Deutsche Bank. He has also served as the General Counsel and Chief Compliance Officer of two U.S. ATSs and a U.K. based multi- lateral trading facility (MTF). Richard began his career on Wall Street by serving as the General Counsel of one of the original Electronic Communications Networks (ECNs), and as Assistant General Counsel and Regulatory Affairs Officer of Knight Capital Group.

Richard is a frequent speaker at conferences on regulatory and market structure issues and is the co-author of the chapter on U.S. regulation of virtual currencies for the Digital Currency Handbook published by Elsevier in May 2015.

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“How to Deal with Volatile Markets from a Buy-Side Perspective and Doing More with Less”

MODERATOR:

Holly McHatton JohnstonSenior Equity Trader, Franklin Templeton

Holly Johnston is a senior equity trader who has been with Franklin Templeton since 1999. She graduated with a B.A. in Business and Telecommunications from The University of Florida and her MBA from Florida Atlantic University. She began as a junior trader in the Global Equity Trading department in March 2000. Throughout her years in trading she has traded Latin America, European ADRs, and many sectors in the US. Currently she trades the US Healthcare and Consumer sectors as well as European ADRs. Along with her trading responsibilities she is the Global Equity Trading Operations point person and is responsible for the Global Trading Analytics team in Hyderabad, India.

PANELISTS:

Lisa UtasiDirector and Senior Equity Trader, ClearBridge Investments

Ms. Lisa Utasi is a Director and Senior Equity Trader at ClearBridge Investments, with more than 30 years of industry experience. She is a Past Chairman of the Security Traders Association (National) and a two term Past President of the Security Traders Association of New York. She currently serves as the President of the Board of Directors of the National Organization of Investment Professionals.

Buy-Side PanelSunday, February 14, 2016

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Ms. Utasi has been widely recognized for her service in the New York City charity community, including the 2011 Women on Wall Street Charitable Works Award and the 2007 Michael P. Beier Award for her dedication to raising awareness and funding in the fight against amyotrophic lateral sclerosis, or ALS. In October of 2015 Lisa co-chaired the 15th Annual MDA Wings Over Wall Street Gala. This marks the third time she has chaired the event. Wings Over Wall Street is a premier fundraising event for the MDA focused on curing ALS. Her charitable service activities include working on behalf of the Eden Institute and SCO Charity Golf Committees, the Inner-City Scholarship Fund and Taylor’s Gift. Ms. Utasi has completed ten marathons, including two for which she raised funds for the Leukemia and Lymphoma Society’s Team in Training.

Ms. Utasi has been a panelist in a Leaders in Philanthropy lecture series sponsored by the Center on Philanthropy and Civil Society, The Graduate Center, The City University of New York. She grew up in Texas and received her BA in Political Science and BBA in Finance from Southern Methodist University. Ms. Utasi now enjoys living in New York City where she is an avid traveler as well as a runner.

Brian BarrettVP/Head Trader, Franklin Templeton

Brian J. Barrett is a Vice President, Head Trader for the Fort Lauderdale Global Equity trading desk. Mr. Barrett is a sector trader responsible for trading the US energy sector for the complex. Previous to current trading responsibilities, Mr. Barrett also traded the financial and industrial sectors and was the generalist for Canadian trading. He was also one of the team leads for Trade Cost Analysis for the global trading team.

Mr. Barrett joined Franklin Templeton in 2002 and has been a member of the Global Equity Trading Team since 2004. Mr. Barrett received his B.A. from St. Vincent College in 1996 and is currently a board member for the Security Traders Association of Florida.

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Keith CollazoEquity Trader, Tocqueville Asset Management

Keith Collazo is an equity trader primarily focused on gold, precious metals, and mining equities in the US and Canada for the highly regarded Tocqueville Gold Fund. In addition to trading the Metals and Mining sector, he is also the generalist in trading mid cap and large cap value equities covering the Industrials, Materials, Energy, and Consumer Discretionary sectors.

Keith graduated from Fordham University with a B.S. in Finance.

Dallas L. LundyDirector of Trading, Atlanta Capital Management Company

Dallas Lundy has over 40 years of investment management experience. He is currently Director of Trading and Chairman of the Trade Management Oversight Committee (TMOC) at Atlanta Capital Management Company. He joined the firm in June 1973 and during his tenure has served in the capacity of Partner, Principal, Assistant Portfolio Manager and in Portfolio Administration. He was appointed as a key member of the firm’s business development team with responsibilities in marketing and client services. He also performed duties as lead client relationship manager for several public pension funds. As one of the original six partners, he has been instrumental in many aspects of managing and growing the firm.

Mr. Lundy is a Past President of the Georgia Securities Association (GSA) where he created the GSA Scholarship Fund and expanded the program to include all major universities in the Atlanta area. Also as President, he expanded the Georgia Stock Market Game to include elementary schools to reach kids at an early age. Mr. Lundy is a member of the Securities Traders Association (STA) and the National Association of Securities Professionals (NASP). He is a graduate of Georgia State University.

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Kenneth JacksonHead Trader, Herndon Capital Management

Kenneth Jackson is Head Trader at Herndon Capital Management, equity long only firm in Atlanta, GA with AUM in excess of $5B as of 12/31/15. Prior to joining Herndon Capital Management, he was a Principal at Qubit Investments, LLC where he helped manage a start-up Equity Market Neutral Hedge Fund, which included responsibility for daily trading operations as well as business development. Prior to joining Qubit Investments, Kenny spent 14 years at Delaware Investments where he served as an Equity Quantitative Analyst for seven of those years providing risk management and modeling for Large Cap Value, Small Cap Value and Core products. He also served as a member of the Large Cap Value Portfolio Construction Committee. In 2008, Kenneth joined the Equity Trading Desk executing both domestic and international securities.

Since 2014, Kenneth has participated in the Liquidnet Headway Program which focuses on executive leadership. In his spare time Kenneth serves as Vice President of the Georgia Securities Association and was recently selected to the Board of Directors for the Georgia Council on Economic Education.

Kenneth lives in Decatur, GA with his wife Rebecca and son Kenneth Robert. He is a graduate from Hampton University with a Bachelor of Science degree in Finance.

Vince FiccaHead of Equity Trading, Eagle Asset Management

Vincent leads a team of institutional traders for Raymond James’ Asset Management Division – Eagle Asset. Eagle’s trading desk is focused on minimizing impact and duration throughout the transac-tion process. The trading desk accomplishes this goal through the implementation of proprietary transaction and correlation tools analyzing pre, intraday and post trade environments. Vincent also focuses his time vesting and customizing broker algorithms to match the characteristics and trading profiles of Eagle’s holdings. Eagle

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pairs its analytical and algorithmic tools in conjunction with its valued broker counterparty network to achieve a repeatable successful dissemination processes.

Prior to joining Eagle Asset Management, Vince worked as a research sales associate for Amtech. Before working on the sell side, Vince was an option and equity trader for a TMT hedge fund – CQ Partners.

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STA Florida Proudly Honors The Florida Veterans Foundation

The Florida Veterans Foundation was established to Serve, Support and Advocate for Florida

Veterans. The Foundation is a direct support organization of the Florida Department of Vet-

erans Affairs (FDVA) and is a nonprofit organization operating for charitable and educational

purposes under section 501(c)(3) of the Internal Revenue Code.

One of the Foundation’s main missions is to provide emergency assistance to Florida Veterans

and their families who, through no fault of their own, are experiencing financial difficulties

that cannot be resolved by the veteran or other veteran service organizations. We are, in a

sense, an organization of last resort. We help when nobody else can or will. Numerous Vet-

erans we assist have service connected disabilities, medical issues that prevent them from

working, are experiencing life changing situations such as death of a loved one, divorce, loss

of income, etc. Many situations veterans face have the potential to develop into catastroph-

ic situations, such as homelessness, if not resolved promptly.

Florida has approximately 1.5 million veterans spanning from WWII to the wars in Iraq and

Afghanistan. While many of these veterans successfully transitioned to a post-military career,

some face challenges to living a happy and productive life. Major issues faced by Florida

veterans include access to healthcare and benefits; housing; jobs and unemployment; post-sec-

ondary education; depression, post-traumatic stress disorder (PTSD); traumatic brain inju-

ry (TBI); substance abuse; and suicide prevention. The philosophy of the Florida Veterans

Foundation is to leave no veteran behind. This is only possible through the monetary

contributions, goods and services we receive through donations and fundraising. Thank you

for your support of our nation’s heroes.

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(as of 2/9/16)Last Name Firm/Company Name City StateBarclay Mike ITG Canada Toronto ONBarreiro John BATS Global Markets Lenexa KSBarrett Brian Franklin Templeton Fort Lauderdale FL Beasley Kia Atlanta GABiancamano Jay Fidessa New York NYBohm Stephen Fidessa New York NYBoylan Robert Goldman Sachs New York NYBrabham Chris Bloomberg Tradebook New York NYBuckley Sean Clearpool New York NYCarolus Steve INTL FCStone Financial Inc. Winter Park FLCaufield Jenny New York NYCaufield Peter BIDS Trading New York NYChaney Eric Instinet, LLC St Louis MOChristie Anton Orlando FLClark Gary Florida Veterans Foundation Lakeland FLCody Bill BATS Global Markets Lenexa KSCollazo Keith Tocqueville New York NYCollazo Stephanie New York NYConroy Michael Bloomberg Tradebook New York NYCooper Jeffrey SunGard Morganville NJD'Antona John Sourcemedia New York NYD'Antona Lisa New York NYDavies Mark S3 Austin TXDavies Nicola Austin TXDonnelly Lindsey Fidessa New York NYDouglas Jeff JonesTrading Lake Mary FLDriscoll Cynthia Boca Raton FLDriscoll Steve Polen Capital Management Boca Raton FLDuncan James ITG Canada Toronto ONFawley Alyson Bank of America Merrill Lynch New York NYFicca Elizabeth St Petersburg FLFicca Vincent Eagle Asset Management St Petersburg FLFinn John Polen Capital Management Boca Raton FLFinnerty Peggy Winter Park FLFinnerty Shaun INTL FCStone Financial Inc. Winter Park FLFistel Carrie Winter Park FLFoerster Samantha AQUA Securities New York NYFrisaura Marcos SS&C Technologies Boston MAGeha Philip JonesTrading Lake Mary FLGillen Billy Eagle Asset Management St Petersburg FLGillen Joely St Petersburg FLGotfredson James SS&C Technologies New York NYGreiner Daniel INTL FCStone Financial Inc. Winter Park FLHamburger Beth Aqua Securities New York NYHansen Riley Credit Suisse New York NYHeatherley Hollie Winter Park FLHilsman Al Orlando FLHilsman Janice INTL FCStone Financial Inc. Winter Park FLHurley Chris Capital Institutional Services, Inc. Dallas TXHurley Holly Dallas TXJackson Kenneth Herndon Capital Management Atlanta GA

STA Florida Annual ConferenceFebruary 12-14, 2016 * Waldorf Astoria Orlando

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Jackson Rebecca Atlanta GAJohnston Darin Fort Lauderdale FLJohnston Holly Franklin Templeton Fort Lauderdale FLKarrlsson-Willis Adam INTL FCStone Financial Inc. Winter Park FLKarrlsson-Willis Michele Winter Park FLKrichman Drew Jane Street New York NYKwiatkowski Ryan INTL FCStone Financial Inc. Winter Park FLLaing Matthew Bank of America Merrill Lynch Atlanta GALevin Richard Bryan Cave LLP Denver COLora Eddy SS&C Technologies New York NYLuckain Dave Tampa FLLuckain Sonya Tampa FLLundy Dallas Atlanta Capital Management CompanySmyrna GALyon Charles INTL FCStone Financial Inc. Winter Park FLLyon Jenni Winter Park FLMarigliano Henry Fox River Execution Solutions New York NYMariniello Anthony INTL FCStone Financial Inc. Winter Park FLMcBride Charlie JonesTrading Lake Mary FLMcBride Doreen Lake Mary FLMcDonnell Kristen Lime Brokerage New York NYMiller Justin Raymond James Tampa FLMoore Thomas INTL FCStone Financial Inc. Winter Park FLMrozek Randy Raymond James Chicago ILMyers David Credit Suisse New York NYNagy Chris Healthy Markets Assocation Omaha NEPaparella Katie STA Florida Lake Mary FLPassalaqua Frank Buckman,Buckman& Reid Little Silver NJPassalaqua Maria Little Silver NJPearson Philip ITG Hoboken NJPearson Stacie Hoboken NJPlace Sharon INTL FCStone Financial Inc. New York NYPowell Brooke Winter Park FLPowell Christopher INTL FCStone Financial Inc. Winter Park FLProctor Frances SunTrust Atlanta GARappaport Jacob INTL FCStone Financial Inc. Winter Park FLRappaport Jacqo Winter Park FLRickmers Robert UBS New York NYRodriguez Belkis INTL FCStone Financial Inc. Winter Park FLRoss Doug INTL FCStone Financial Inc. Winter Park FLRowe Aaron Bank of America Merrill Lynch Chicago ILRussell John Franklin Templeton San Mateo CASasser Erika STA Florida Lake Mary FLSeidita Alicia New York NYSeidita Stephen The Williams Capital Group LP New York NYSt. Onge Justine Orlando FLThurley Stan UBS New York NYUtasi Lisa ClearBridge Investments New York NYVarela Antonio INTL FCStone Financial Inc. Boca Raton FLVarela Myrium Boca Raton FLVelazquez Juan Franklin Templeton Fort Lauderdale FLWarner Sobani The Williams Capital Group LP New York NYWeber Seth Vandham Morganville NJWoodard Peyton SunTrust Winter Park FL

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Please Mark Your Calendar... S

EC

UR

I T

Y T R A D E R S A S SOC IAT

I ON

O F F L O R I D A

for the STA Florida 2017 Annual Conference!

Eden Roc Miami BeachMiami Beach, FL

February 9-11, 2017

Looking forward to seeing you there!