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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 Vice-Chairman of the Security Traders Association Board of Governors. 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. Sholmo Cohen Managing Director, Capital Markets Mr. Cohen joined JonesTrading as Managing Director, Head of Capital Markets. Prior to joining JonesTrading, Mr. Cohen was Vice President, Head of Capital Markets Trading at Cantor Fitzgerald from May 2002 through May 2006. During Mr. Cohen's tenure at Cantor, he structured underwritten equity offerings and was Head Trader for underwritten equity offerings in "at-the-market". Mr. Cohen also managed the syndicate process on Cantor-led traditional IPO's and secondary offerings. Mr. Cohen has a BA from Boston University and has his Series 7, 24, 55, and 63 industry licenses.

• 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.

• Ms. Elly Gibbs Managing Director and Branch Office Manager (Mill Valley) Ms. Gibbs began her trading career in 1985 working as an assistant at DLJ. After a number of years, she went to help start the Schwab Institutional Trading desk. She went on to work at Rodman and Renshaw, Volpe and started the Spear Leeds West Coast office until they were bought by Goldman Sachs. Following this, Ms. Gibbs came to JonesTrading in 2002. She was recently promoted to office manager and hopes to not only increase the production of current sales traders, but also bring in new talent. She has her Series 7, 24, 55, and 63 industry licenses.

• Mr. Adam Graves CIO Mr. Graves joined the firm in 1999. Prior to joining JonesTrading, he was an MIS consultant. Mr. Graves is a Certified Cisco Design Associate (CCDA), CNE and ITIL. Mr. Graves also has a BS in Business Administration 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 BA from Loyola Marymount University. He is admitted to practice law in California and has his Series 4, 7, 24, 53, 55, and 63 industry licenses.

• Mr. George F. Harrington Managing Director and Branch Office Manager (Boston) Mr. Harrington joined the firm in May 2005 as a Managing Director, Senior Sales Trader and Branch Office Manager. Prior to joining JonesTrading, Mr. Harrington was a Position Trader at Merrill Lynch and JP Morgan, and a Sales Trader at Credit Suisse. He received a BA from Colby College in 1985 and has his Series 7, 24, 55, and 63 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 (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 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 (Heathrow) 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. John McGough Managing Director of Commission Management Services & Independent Research Prior to JonesTrading, Mr. McGough was Director of Commission Management Services for BTIG responsible for the Global expansion of BTIG's Commission Management business. Formerly, John established the Commission Management efforts for Kellogg Partners, The Island ECN and was the Head of Soft Dollar Sales for the Prudential Equity Group. John began his career in Institutional Soft Dollar Sales with Standard & Poor's Securities. John is a frequent guest speaker for various industry groups such as Institutional Investor & Security Traders Association on the subject of Commission Management. John currently resides in Florham Park NJ with his wife and 4 children.

• 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. Christopher 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.