"With market volumes down and average order execution sizes smaller, our value proposition is to source liquidity for our clients. Trading blocks is the most cost-effective way to trade significant volume."

– Mr. Ron Spaeth, Head Trader

Our People

  • Mr. Rick Andrews

    Managing Director and Branch Office Manager (Dallas)

    Mr. Andrews is a Managing Director and Branch Office Manager of our Dallas office. Mr. Andrews joined JonesTrading in 1998. During his time here at JonesTrading, Mr.Andrews was the National Sales Manager for two years and a Board Member for one year. Prior to coming to JonesTrading, Mr. Andrews was Senior Vice President and Head Trader at Luther King Capital Management. Mr. Andrews is also a Board Member of the Dallas Security Traders Association and the National Organization of Investment Professionals (NOIP). He received a Bachelor's degree in Business in 1977 from Texas Tech University and has his Series 7, 24, 55, and 63 industry licenses.

  • Mr. Tom Carter

    Managing Director and Branch Office Manager (Westlake Village)

    Mr. Carter is a Managing Director and Branch Office Manager of the Institutional Trading Desk of JonesTrading in Los Angeles. Mr. Carter began his career at JonesTrading in 1993. Mr. Carter has served on the Board of Directors for the Security Traders Association of Los Angeles since 1998 and was President in 2005-2006. He currently serves as Chairman of the Security Traders Association Board of Governors which oversee's the 26 local affiliates of the STA. Mr. Carter's activities include educational outreach to members of congress on matters related to market structure and financial regulation in Washington, D.C. Mr. Carter graduated from the University of Colorado at Boulder with a degree in Economics. Mr. Carter continues to serve the community, STALA and the STA with great pride. He has his Series 7, 24, 55, and 63 industry licenses.

  • Ms. Carol Castro

    Managing Director and Branch Office Manager (Charleston)

    Ms. Castro is a Managing Director and Branch Office Manager of our Charleston, South Carolina office. Ms. Castro joined JonesTrading in 2004. Prior to coming to JonesTrading, Ms Castro worked at UBS as a Senior Vice President Equity Salestrader for 4 years and prior to that spent 18 years at SG Warburg as a Senior Vice President Salestrader where she focused on US as well as International Equities. She resides in Charleston SC with her two German shepherds JJ and Desi. Ms. Castro has received her Series 7, 24, 55 and 63 industry licenses.

  • Mr. Sayant Chatterjee

    CIO

    Mr. Chatterjee joined JonesTrading in January 2014 as CIO. He began his career as an analyst at the Federal Reserve in 1995 and ultimately moved on to become an analyst/programmer on the proprietary derivatives trading desk at ING Barings in New York.  He joined Fidessa in 2001, during its early stages in the US. He spent over 12 years at Fidessa in various capacities, most recently as a Managing Director responsible for launching Fidessa’s presence in India. Mr. Chatterjee holds a BA in Economics from the State University of New York at Stony Brook. He currently lives in Brooklyn with his wife and two children.

  • Mr. Moe Cohen

    Managing Director, Head of Investment Banking

    Mr. Cohen is based out of the New York office. Prior to joining JonesTrading, Mr. Cohen was VP, Head of Capital Markets Trading at Cantor Fitzgerald. During Mr. Cohen's tenure at Cantor, he managed the syndicate process for Cantor's lead traditional IPO's and secondary offerings, and structured the firm's underwritten equity offerings. He holds a BA from Boston University in Economics. Mr. Cohen is on the board of the Secondary Committee for the Closed-End Fund Association (CEFA).

  • Mr. Paul Farrington

    Managing Director and Branch Office Manager (Atlanta)

    Mr. Farrington joined the firm in 2006 and manages our Atlanta office. Prior to joining JonesTrading, Mr. Farrington was at Robinson Humphrey in Atlanta and New York, JC Bradford in Nashville, Tennessee and at Everen Securities and McDonell Brothers in Chicago. He received a Bachelor's degree in Finance from Michigan State University in 1993 and has his Series 7, 24, 55, and 63 industry licenses.

  • Mr. Lawrence Harasym

    Associate Counsel/CCO

    Mr. Harasym joined the firm in May 2006 as Chief Compliance Officer, and obtained the title of Associate Counsel/CCO in December 2009. Previously, Mr. Harasym was Vice President, Director of Compliance with Imperial Capital, LLC. Prior to this, he spent four years (2000-2004) with NASD as a Compliance Examiner. From 1996 to 2000, Mr. Harasym was the principal attorney of his own law firm in Westwood, CA, with an emphasis in transactional matters. Mr. Harasym received his J.D. from the Thomas Jefferson School of Law in San Diego, CA, and his B.A. from Loyola Marymount University. He is admitted to practice law in California, and has his Series 4, 7, 24, 53, 55, 63 and 87 industry licenses.

  • Mr. Michael Hock

    Managing Director and Branch Office Manager (Morristown)

    Mr. Hock is a Managing Director and Branch Office Manager of our Morristown New Jersey office. Mr. Hock joined JonesTrading in March of 2010. Prior to coming to JonesTrading, Mr. Hock worked at Pali Capital for 2 years as the Managing Director and previous to that spent 18 years at Jeffries as an Institutional Sales Trader and then head of the Short Hills, New Jersey office as the Regional Sales Manager overseeing Institutional Sales and Trading. Mr. Hock received his Bachelor of Science degree in Finance and Communications from New England College in 1981. He resides in Mendham, New Jersey with his wife of 22 years and their two sons. Mr. Hock has his Series 7, 24, 55 and 63 industry licenses.

  • Mr. Kevin Horgan

    Managing Director and Branch Office Manager (Hanalei)

    Mr. Horgan is the Managing Director and Branch Office Manager of our Hawaii office based in Hanalei. Prior to joining JonesTrading, Mr. Horgan was a sales trader in Japanese equities at BTIG. He has also served as Managing Partner at NAMINORI for five years and served in sales management roles at Merrill Lynch on the Japanese and European Convertibles teams. A graduate of the University of Rhode Island, he has a Japanese studies certificate from Seinan Daigaku in Fukuoka Japan and graduated from the Harvard University Japanese Language Summer Program. He has his Series 7, 24 and 63 industry licenses.

  • Mr. Van Hutcherson

    Managing Director and Branch Manager (Chicago and Oak Brook)

    Mr. Hutcherson joined the firm in 2005 as a Managing Director and head of our Chicago Office. From 1996-2005, he was the head of Goldman Sachs Chicago Institutional Equity Trading Operation and was named Managing Director in 2000. Also in 2000, he joined their Chicago Leadership Team. Mr. Hutcherson received a Bachelor of Science degree from Arizona State University in 1987 and is married with three children. He has his Series 7, 24, 55, and 63 industry licenses.

  • Mr. David Lutz

    Managing Director and Branch Office Manager (Annapolis)

    Mr. Lutz is a Managing Director and Branch Office Manager of our Annapolis, MD office. Prior to joining JonesTrading, Mr. Lutz was a senior equity trader for 20 years (running multiple industry books) at: Alex.Brown; UBS; Wachovia; and Stifel. He built Stifel’s ETF trading platform - and branded himself a Macro strategist through his differentiated research. Dave publishes his "What Traders are Watching" to thousands of Institutional clients, and runs nearly 500 "chatrooms" with the street. He graduated from the University of Maryland and has his Series 4, 7, 24, 55 and 63 licenses.

  • Mr. David S. Mattoon

    Managing Director and Branch Office Manager (Portsmouth)

    Mr. Mattoon joined the firm in 2001 as a Managing Director. He is a Member of the Board of Directors of JonesTrading and is the manager of our Portsmouth Office. Mr. Mattoon is also the CEO of JonesTrading International Ltd. Prior to joining JonesTrading, Mr. Mattoon managed trading desks at Wertheim & Company, Rotan Mosle, Cantor Fitzgerald & Company and Jefferies & Company, where he also developed European, Latin American and Canadian Markets. He began his career at Drexel Burnham Lambert. Mr. Mattoon received a BA in English from Colgate University and has his Series 7, 24, 55, and 63 industry licenses.

  • Mr. Charlie McBride

    Managing Director and Branch Office Manager (Lake Mary)

    Mr. McBride joined JonesTrading in 1993 and has been a top producer for the firm covering several major institutions throughout the country. Prior to working at JonesTrading, Mr. McBride worked at Morgan Stanley and Execution Services Incorporated. Mr. McBride is a very active participant in the industry and often represents the firm at industry events. Mr. McBride has managed the Florida office for five years and currently serves on the Board of Directors. He has an Associates Degree from St. John's University in New York and has his Series 7, 24, 55, and 63 industry licenses.

  • Mr. Jeff Micsky

    Head of Global Derivatives

    Mr. Micsky, CFA, joined JonesTrading in 2011 from Credit Suisse, and was named Head of Global Derivatives in 2014.  He learned the derivatives business while working at hedge fund Pequot Capital from 2005 until 2009, when the firm closed.  At Pequot Capital, Mr. Micsky worked with analysts and portfolio managers to structure, and trade, equity option strategies around Pequot’s fundamental research driven view.  After Pequot closed in 2009, he took an Equity Derivative Sales role at Credit Suisse in San Francisco, with the goal of providing a similar level of derivative analysis and execution to his clients.  Mr. Micsky is a 2004 graduate of Princeton University where he majored in Economics and graduated Cum Laude.  He has his Series 7, 63, 3, 55, 4, and 24 industry licenses.

  • Mr. Brett Mock

    Managing Director and Branch Office Manager (Mill Valley)

    Prior to joining JonesTrading, Mr. Mock was Managing Director at BTIG LLC. Previous to that, he was: Director, Capital Markets, Wachovia Securities; and Principal with Bank of America Securities.  Earlier in his career, Mr. Mock was a NASDAQ market maker with Montgomery Securities and Spear, Leeds and Kellogg. Mr. Mock has, throughout his career, been a participant in industry issues, rising to serve as National Chairman of the Security Traders Association for the year 2010, and serving on that board from 2004-2012.  He also served as President of San Francisco Security traders in 2005, serving on that board from 2001-2006. Mr. Mock lives with his wife and two children in Tiburon, CA.

  • Mr. Paul Richards

    Managing Director and Branch Office Manager (Miami)

    Mr. Richards joined the firm in 2000, and manages our Miami office. Prior to that, Mr. Richards managed our NY city office. He has his 7, 24, 55 and 63 industry licenses.

  • Mr. Jeffrey Sloves

    Managing Director and Branch Office Manager (New York)

    Mr. Sloves is a Managing Director and the Manager of our New York office. He joined JonesTrading in 2002, after graduating Cum Laude from Dartmouth. Mr. Sloves majored in Economics and was captain of the Dartmouth tennis team while he played the #1 position in singles and doubles. He lives in Manhattan with his wife and son. He has his series 7, 24, 55, and 63 industry licenses.

  • Mr. Ron Spaeth

    Head Trader

    Mr. Spaeth is Head Trader at JonesTrading and supervises all sales traders regarding day-to-day trading. He joined in 1994 and is based in our Westlake Village office. Mr. Spaeth received a BS in Finance in 1994 from Arizona State University and has his Series 7, 24, 55, and 63 industry licenses.


  • Mr. Chris Tullar

    Managing Director and Branch Office Manager (Aspen)

    Mr. Tullar joined the firm in the Aspen office in 2001. In 2007, Mr. Tullar became Managing Director and head of the Aspen office. Mr. Tullar received a BA in Sociology with minors in Business and Spanish from UCLA in 1998 and has his Series 7, 24, 55, and 63 industry licenses.

  • Mr. Steve Tullar

    Managing Director

    Mr. Tullar is the Managing Director at JonesTrading. Previously, he was Director of Global Trading. He joined the Executive Committee and became a Managing Director in 2000. He has worked in several JonesTrading regional offices around the country, starting in Los Angeles working under Mr. Mike Hornbuckle and Mr. Packy Jones. Mr. Tullar then went to the New York office and was later instrumental in the opening of the Florida office. Currently, Mr. Tullar heads up new hiring, account management for the firm, and runs the Sales Trader Training Center in Aspen for all trading personnel. Mr. Tullar is an all-season, outdoor enthusiast with a passion for mountain biking, motor crossing and downhill skiing. He resides in Aspen, Colorado with his wife and three children. Mr. Tullar is a 1991 graduate of the University of California, Los Angeles, majoring in Economics and has his Series 7, 24, 55, and 63 industry licenses.

  • Mr. Andrew Tuthill

    Managing Director, Head of Capital Markets

    Mr. Tuthill is responsible for JonesTrading's Capital Markets activities and is a member of the executive committee; he is based out of San Francisco, CA. Mr. Tuthill has over 17 years of experience in investment banking, equity capital markets, and trading. Before joining JonesTrading, he was most recently Managing Director in Equity Capital Markets at Thomas Weisel Partners since 2007. Prior to joining TWP, Mr. Tuthill was a Managing Director at UBS Investment Bank and a Vice President at JP Morgan H&Q. He received a BA degree from Denison University in Granville, Ohio.