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Our Leadership Team

Joseph M. Velli
Chairman and Chief Executive Officer, ConvergEx Group

Joseph M. Velli is Chairman and Chief Executive Officer of ConvergEx Group. Prior to the formation of ConvergEx Group, Mr. Velli served as Senior Executive Vice President of The Bank of New York and Chief Executive Officer of BNY Securities Group. During his tenure with the Bank, Mr. Velli’s responsibilities also included heading Global Issuer Services, Global Custody and related Investor Services, Consumer Banking and Global Marketing and Sales.

Mr. Velli joined The Bank of New York in 1984 as an Assistant Vice President, where he established the Bank’s Depositary Receipt business. He was promoted to Vice President in March 1985 and Senior Vice President in 1988. In 1990, he was named Sector Head of Global Issuer Services. Mr. Velli was elected an Executive Vice President in May 1992, the youngest executive in the Bank’s history to attain this position. In September 1998, Mr. Velli was promoted to Senior Executive Vice President, assuming responsibility for Consumer Banking in addition to Global Issuer Services and was also named a member of the Bank’s Senior Policy Committee.

In 1997, Mr. Velli established the Bank’s institutional brokerage business. In August 2001, he was named head of the Brokerage and Clearing Sector, a newly formed unit that combined the Bank’s trade execution and clearing businesses, which was later branded as BNY Securities Group. Under Mr. Velli’s leadership, Pershing LLC, the world’s largest correspondent clearing firm was acquired in 2003 and became part of BNY Securities Group.

Prior to joining The Bank of New York, Mr. Velli was head of Citibank’s Depositary Receipt business.

Mr. Velli currently serves on the board of E*Trade Financial Corp. and Paychex, Inc.

Mr. Velli holds an M.B.A. in Finance from Fairleigh Dickinson University and a B.A. in accounting from William Paterson University of New Jersey.

Charles E. Rappold
Vice Chairman and Chief Operating Officer, ConvergEx Group

Charles Rappold is Vice Chairman and Chief Operating Officer of ConvergEx Group. In his current role, Mr. Rappold’s responsibilities include oversight of the credit, compliance, finance, human resources, legal, operations and technology divisions of ConvergEx Group. Additionally, he is responsible for budgeting, capital planning, mergers and acquisitions including due diligence and post-acquisition integration.

Prior to the formation of ConvergEx Group, Mr. Rappold served as Executive Vice President of The Bank of New York and Chief Operating Officer of BNY Securities Group. He joined the company in 1986. During his tenure with the Bank, Mr. Rappold’s positions also included Head of Corporate Development, Chief Administrative Officer, Chief Trust Officer and Chief Legal Officer and Secretary.

His previous experience includes Senior Vice President of Commercial Union Capital Corporation from 1981 through 1986 and Associate Attorney at Cadwalader, Wickersharm & Taft from 1977 through 1981.

Mr. Rappold holds his A.B. from Marshall University where he graduated maxima cum laude and his J.D from University of Virginia Law School. At University of Virginia, he was a member of the Order of the Coif and received the Alumni Association Award for Academic Excellence.

Anthony G. Blumberg
Executive Managing Director, ConvergEx Group
Chief Executive Officer, ConvergEx Global Markets

Anthony Blumberg is an Executive Managing Director of ConvergEx Group and Chief Executive Officer of ConvergEx Global Markets, a member company of ConvergEx Group.  In this role, he oversees global agency trading in over 100 markets as well as settlement services in some of the world’s most complex markets.

In 1997 he joined Credit Lyonnais Securities as a Managing Director, where he established one of the world’s largest global portfolio trading groups, G-Trade Services, which received several top industry rankings and was sold to The Bank of New York in 2002. Between 1986 and 1997, he held a number of strategic positions at BHF Securities and Citibank, NA in New York, where he played a key role in establishing Citibank’s highly acclaimed global equity and fixed income execution and clearing network in over 65 countries. Mr. Blumberg was also an active floor-trading member of the NYMEX, COMEX and FinEx Futures and Options Exchanges for over 5 years.

Graduating with distinction from Eden College and The University of South Africa, he also served with honor in the South African Air Force.

Thomas M. Carroll
Chief Technology Officer, ConvergEx Group

Thomas Carroll is Chief Technology Officer of ConvergEx Group. In his role, Mr. Carroll is responsible for the technical infrastructure, software development and business processes of ConvergEx Group and for directing company resources in support of accelerating new product development and innovation worldwide.

He has over 20 years of financial service information technology experience and has managed diverse, global technology organizations throughout New York, London, Hong Kong and India. Prior to ConvergEx, Mr. Carroll served as Managing Director and Global Head of eMarkets and Client Connectivity for HSBC Bank USA. At HSBC he reported to the CIO of HSBC's investment banking unit while overseeing the development and design of HSBC's Global Fixed Income electronic trading platform and Cross-Asset FIX connectivity application. His previous experience includes various technology roles within Fidelity Investments, Lehman Brothers Inc. and Salomon Brothers.

Mr. Carroll holds his B.A from SUNY College at Cortland and an MBA in Information Systems and Finance from Fordham Graduate School of Business.

Vincent J. Fitzpatrick
Executive Managing Director, ConvergEx Group

Vincent Fitzpatrick is an Executive Managing Director of ConvergEx Group. Mr. Fitzpatrick is responsible for coordinating new business development for the firm and has overall management responsibility for ConvergEx’s relationship with The Bank of New York Mellon.

Prior to joining ConvergEx Group in 2005, Mr. Fitzpatrick managed marketing and sales of The Bank of New York’s ADR Services to the international investment community.

Mr. Fitzpatrick holds his B.S. from Brooklyn College and has completed several graduate-level courses at St. John’s University.

 

Thomas P. Gavin
Executive Managing Director, ConvergEx Group
Chief Executive Officer, Eze Castle Software

Tom Gavin is an Executive Managing Director of ConvergEx Group and Chief Executive Officer of Eze Castle Software. A member company of ConvergEx Group, Eze Castle Software is a leading OMS provider with nearly 400 clients worldwide. Mr. Gavin joined Eze Castle Software in 1998 as the Chief Operating Officer, managing all aspects of the company’s day-to-day operations and strategic planning. In 2005, Mr. Gavin was named Chief Executive Officer of the company, replacing the founder and chairman.

Prior to Eze Castle Software, Mr. Gavin worked for Treacy & Company, a boutique management consulting firm in Boston, Massachusetts. He was recently recognized by The Boston Business Journal’s “40 Under 40” and is active in numerous local and community non-profit organizations.

Mr. Gavin holds a B.A in History form Harvard University, graduating magna cum laude and was a Michael C. Rockefeller Memorial Fellow.

Craig S. Lax
Executive Managing Director, ConvergEx Group
Chief Executive Officer, G-Trade Services

Craig Lax is an Executive Managing Director of ConvergEx Group and Chief Executive Officer of G-Trade Services, a member company of ConvergEx Group.

In his current role, Mr. Lax manages the global electronic trading business that provides direct market access to more than 65 markets worldwide. He joined G-Trade in 1999. Prior to G-Trade, he was Managing Director and Chief Operating Officer for The LatInvest Group from 1994 through 1999.

Mr. Lax received his B.A. from Tufts University and his J.D. from Emory University Law School. 

John D. Meserve
Executive Managing Director, ConvergEx Group
Chief Executive Officer, Westminster Research Associates
Chief Executive Officer, ConvergEx Research Solutions

John D. Meserve is an Executive Managing Director of  ConvergEx Group. In this capacity, Mr. Meserve is responsible for the company's research and commission management businesses.  This includes Westminster Research Associates and ConvergEx Research Solutions (of which Cogent and Jaywalk are divisions).  

Prior to his current role, Mr. Meserve served as Director of BNY Securities Group, a division of The Bank of New York, and was responsible for Westminster Research Associates and Jaywalk. From 1989-1999, Mr. Meserve served as Senior Vice President of The Bank of New York and head of the International Marketing Division, where he was responsible for coordinating the Bank's worldwide depositary receipts and securities processing marketing. In addition, before joining the private sector, Mr. Meserve held a number of key positions in the United States Department of Commerce during the Reagan Administration.

Mr. Meserve is a member and former chairman of the SIFMA’s Institutional Brokerage Committee, an active member of the Alliance in Support of Independent Research and a founding member of the Investorside Research Association.

Mr. Meserve has a B.A. from Bowdoin College and an MBA from George Washington University.

Carey S. Pack
Executive Managing Director, ConvergEx Group
Chief Executive Officer, ConvergEx Execution Solutions

Carey S. Pack is an Executive Managing Director of ConvergEx Group and Chief Executive Officer of ConvergEx Execution Solutions, a member company of ConvergEx Group. Mr. Pack has led ConvergEx Execution Solutions since 2001.

ConvergEx Execution Solutions offers a broad range of agency brokerage solutions, including execution and liquidity management technologies, wholesale and clearing services, commission management, and global transition management. Mr. Pack joined ConvergEx Execution Solutions in March 1999 and has served as both Managing Director and Director of Sales.

Prior to joining BNY ConvergEx Execution Solutions, Mr. Pack served as a Vice President at Salomon Brothers, where he ran their prime brokerage and clearing activity businesses. Mr. Pack began his career with JP Morgan, where he held several management positions in their securities servicing businesses. While at JP Morgan, Mr. Pack was based in London for three years where he managed the firm’s European securities servicing business.

He received his bachelor’s degree from Stony Brook University and his MBA from Carnegie-Mellon University.

David Quinlan
Executive Managing Director, ConvergEx Group
President, Eze Castle Software
President, Eze Castle Transaction Services

David Quinlan is an Executive Managing Director of ConvergEx Group and serves as the company's Director of Corporate Strategy.  Additionally, Mr. Quinlan is President of Eze Castle Software and Eze Castle Transaction Services, member companies of ConvergEx Group.

Eze Castle Software is a leading OMS provider with nearly 400 clients worldwide. Mr. Quinlan joined Eze Castle Software in 1999. In his current role, he is responsible for sales, marketing, product management and business development for Eze Castle Software and manages Eze Castle Transaction Services.

Mr. Quinlan is also a member of the board of directors at Code Red Inc. He has been a director since 2005.

Mr. Quinlan holds a B.S. in Finance from Providence College. He is Series 7, 8 and 24 registered.

Anthony J. Saliba
Executive Managing Director, ConvergEx Group
Chief Executive Officer, LiquidPoint

Anthony Saliba is an Executive Managing Director of ConvergEx Group and Chief Executive Officer of LiquidPoint, a member company of ConvergEx Group. In his current role, Mr. Saliba manages the options trading platforms for both the buy-side and sell-side investment community.                                                                                                                                                   

He began his trading career at Chicago Board Options Exchange (CBOE) trading equity options as an independent market maker. Throughout the next decade, he expanded his trading horizons to include most CBOE products, currencies and the Standard & Poor’s 500 contracts on the Chicago Mercantile Exchange, along with the agricultural and interest rate products traded on the Chicago Board of Trade. The Standard & Poor product (SPX) was his primary focus, which he traded for several years on the CBOE floor.

Mr. Saliba has been a dominant presence in all markets in which he traded on a full-time basis, holding volume records in a number of the classes. He is widely recognized as a pioneer and leader in the Chicago derivatives market and was the only options trader to be profiled in the bestselling book, Market Wizards. He served on the CBOE's Board of Directors from 1987-1989 and has participated on numerous industry committees.

Mr. Saliba is an Evans Scholar alumnus and earned a B.S. in Accounting from Indiana University in 1977.

Lee A. Schneider
General Counsel, ConvergEx Group

Lee Schneider is General Counsel of ConvergEx Group. Mr. Schneider is responsible for all legal and compliance matters and manages a team of nearly two dozen lawyers, paralegals and compliance personnel.

Prior to the formation of ConvergEx Group, he served as Managing Counsel, Securities and Capital Markets for The Bank of New York from 2005 through 2006. His previous experience at the Bank included Senior Counsel, Securities and Capital Markets and lead in-house counsel for broker-dealers.

Previously he was an Associate with Solomon, Zauderer, Ellenhorn, Frischer & Sharp from 1996 through 1999, and with Paul, Weiss, Rifkind, Wharton & Garrison from 1992 until 1996. He was also a law clerk for The Honorable Roger J. Miner, United States Court of Appeals for the Second Circuit from 1991 to 1992.

Mr. Schneider holds his A.B. in Economics from the University of Michigan and his J.D., summa cum laude, from American University Washington College of Law. He is a member of the New York State Bar.

Jeffrey D. Shoreman
Executive Managing Director, ConvergEx Group
Chief Operating Officer, Eze Castle Software

Jeffrey Shoreman is an Executive Managing Director of ConvergEx Group and Chief Operating Officer of Eze Castle Software. A member company of ConvergEx Group, Eze Castle Software is a leading OMS provider with nearly 400 clients worldwide. In his current role, he oversees 200 professionals working in product development, product implementation, global client service, information technology and quality assurance. Mr. Shoreman joined Eze Castle Software in 1999 as a Senior Consultant. From 2000 through 2002 he served as Vice President of West Coast Operations and from 2002 through 2004 as Vice President of Product Development. He was Chief Technology Officer from 2004 through 2005.

Prior to Eze Castle Software, Mr. Shoreman worked for Andersen Consulting as a technology consultant. He is an active board member of the ECS Charity Fund.

Mr. Shoreman holds a B.A in Engineering and History from Dartmouth College in Hanover, New Hampshire.

Christopher M. Springer
Chief Financial Officer, ConvergEx Group

Christopher Springer is Chief Financial Officer of ConvergEx Group.  Mr. Springer is responsible for the activities of the Finance department and played a key role in the strategy, management and completion of the formation of ConvergEx Group and many other key transactions and company acquisitions. He is responsible for the company’s financial and regulatory reporting and has established controls and practices to ensure that the company is compliant with reporting and accounting requirements.

Prior to the formation of ConvergEx Group, he served as Managing Director and Chief Financial Officer of BNY Securities Group from 2002 through 2006. Previously, he served as Managing Director and Chief Financial Officer for BNY Brokerage and B-Trade Services. Mr. Springer joined BNY Brokerage (formerly ESI) in 1988 and held other roles roles of increasing responsibility within the company's Finance department. His prior experience includes auditing at Arthur Anderson & Co. from 1984 through 1988.

Mr. Springer is a Certified Public Accountant and is Series 27 registered. He has his B.A. and Masters in Accounting from the University of Mississippi and was President of Beta Alpha Psi, Accounting Honorary Society.