1. ROLLAND C. HOOEY, JR.
New York Metro Area
516-784-6398 • rhooey@gmail.com
EQUITY AND OPTIONS
TRADING, ELECTRONIC
TRADING AND SALES
LEADER
Innovative leader with broad based expertise in equity and option trading, institutional sales, electronic trading, operations, and
business development. Proven history of exceeding customer expectations in creating new products and building a robust equity and
ETF trading business that covers electronic market making, algorithmic trading, portfolio management and institutional sales. Core
competencies include:
• Electronic Market Making
• Institutional Sales and Trading
• PNL and Operations Management
• Smart Routing and Connectivity
• Equity Market Structure
• Compliance
• Risk Management
• Project Management
PROFESSIONAL EXPERIENCE
Director – Head of Electronic Market Making, Co-Head Market Structure New York, NY
Wells Fargo Securities (2012-Present) 2010 – Present
Cowen and Company (2010-2012)
Lead growth and strategic development of the electronic market making group (EMM) after successfully negotiating the
sale and re-build from Cowen to Wells in 2012. Negotiate contracts, hire team members and integrate dynamic electronic
market making product with other businesses and back office. Develop marketing initiatives and lead sales effort to
onboard customers.
• Drive new business development while supervising and cultivating collaboration with broker dealers, institutions,
exchanges, ATSs and vendors.
o Grew share volume 54% from Q1 2014 to Q4 2014.
o Create and present marketing materials with monthly execution statistics to customers and prospects
resulting in 387% revenue growth from Q1 2014 to Q4 2014.
o Liaise with business heads, operations and IT teams to onboard broker dealer and institutional clients to
Electronic Market Making, Algorithm, ETF, Program Trading, Fixed Income, Derivative and Prime
Brokerage businesses.
• Oversee automated trading and risk management of Exchange Traded Products while nurturing senior
relationships across the space.
o Worked closely with Authorized Participant (AP) desks at Cowen and Wells Fargo that created valuation
models and customized analytics for ETFs.
o Forged strong relationships with Exchange Traded Product desks at various broker dealers, retail firms,
originators and vendors.
o Traded full universe of Exchange Traded Products for retail customers and cross-sold in-house AP
capabilities to customers.
• Leverage strong analytical skills and portfolio modeling experience to manage risk, trading and portfolio analytics
for trade engine that averages 20MM shares and $600MM in volume a day.
o Built engine that relies on automated risk management algorithms to manage individual and portfolio risk.
o Utilize the user interface to monitor the portfolio and trading in real time. There were additional layers of
risk control that allowed for manual intervention on individual equities or the portfolio as a whole.
o 100% run rate since going live in July 2011.
• Champion Wells Fargo opinions and communicate key regulatory topics as co-head of market structure.
o Represent Wells Fargo on SIFMA’s Equity Markets and Trading Committee.
o Represent Wells Fargo on industry panels, write regulatory newsletters and meet with customers to
discuss relevant market structure topics.
o Member of STANY Executive Board, STA Market Advisory Committee and FIF Front Office.
• Successfully built Electronic Market Making business from scratch and led sales transition from Cowen to Wells
Fargo Securities
o Presented business plan, budget, weekly and quarterly reports to management.
o Researched various order management systems before negotiating a long-term deal with Sungard.
o Hired a quantitative analyst, developer, engineer and junior sales trader to build and support the product.
o Negotiated terms with various ATS’s, liquidity providers and ECN’s in building smart order routes.

2. ROLLAND C. HOOEY, JR.
New York Metro Area
516-784-6398 • rhooey@gmail.com
EQUITY AND OPTIONS
TRADING, ELECTRONIC
TRADING AND SALES
LEADER
o Created a robust database, test and replay environment that enabled the business to monitor execution
quality real time and evaluate new strategies.
Senior Vice President New York, NY
Pulse Trading 2009 – 2010
Introduced pre-existing relationships and prospects to diverse equity and options trading platform that included equities,
options, block ATS, algorithms and research products
• Traded client’s equity, option, program and algorithmic orders while growing customer list.
o Utilized Bloomberg’s SSEOMS, RediPlus, RealTick, ITG and CSFB algorithms and order management
systems to trade variety of equity, option, arbitrage, index and program trading strategies.
o Created and taught robust nationwide marketing strategy that included new sales materials, use of Tier1
and Salesforce to deliver a consistent approach used by sales traders to grow revenue over 100% YOY.
o Introduced and integrated BlockCross into large variety of institutional and buyside accounts –
BlockCross is a cutting edge Block ATS that currently sees 2B shares in over 3,000 unique names daily.
o Marketed in-house commission sharing platform that covered over 300 research providers.
Head of Trading and Sales (2001 – 2008) New York, NY
Madoff Securities, Broker Dealer 1996 - 2008
Led transition to new equity trading businesses (electronic market making, institutional sales and program trading
products) and provided compliance, oversight and vendor initiatives to enhance the team and integrate technology, sales,
client services and trading.
• Built and managed institutional sales team and led transition to a medium touch electronic institutional trading
system that embedded smart routing, monitored risk and provided key execution quality metrics.
o Cultivated and grew over 200 customer relationships resulting in dramatic growth in algorithmic and
institutional trading volume by 104% YOY.
o Nurtured relationships with senior personnel at exchanges, ECNs, dark pools and a variety of broker
dealers that assisted in implementing a low latency, cost effective and best execution smart router, order
management system (OMS) and execution management system (EMS).
• Managed traders and worked with developers to build the automated market making platform and team.
o Oversaw key strategic initiatives, hires and managed personnel across trading, sales, middle office, order
and execution management systems, stock borrow and trade clearing/settlement.
o Provided vision, direction and leadership in designing full service back-up facility and software to protect
customers and firm from a variety of disaster scenarios.
Senior NASDAQ Trader (1996-2001)
Made a market and proprietarily traded NASDAQ stocks including Cisco Systems, Applied Materials and Ciena.
• Used options and systematic models for proprietary trading and hedging positions.
• Trained and managed 15 NASDAQ assistants and Junior Traders.
EDUCATION AND LICENSES
COLUMBIA BUSINESS SCHOOL New York, NY
Masters in Business Administration, Finance Honors List May 2001
COLLEGE OF THE HOLY CROSS Worcester, MA
Bachelor of Arts Degree, Psychology / Economics May 1993
SERIES 7, 24, 55 AND 63
PROFESSIONAL AND COMMUNITY ASSOCIATIONS
• STANY Executive Board Member • Captain of the Holy Cross Football Team
• Holy Cross Career Advisor • St. Edwards CYO Board Member
• STA Market Advisory Committee • SIFMA EM&T and FIF Front Office Committee