201.960.

6767
msweems@hillcreststrategies.com
www.linkedin.com/in/marlonweems/
www.hillcreststrategies.com

executive

summary

Marlon Weems is a financial services veteran with over ten years spent in senior positions on Wall Street. He has held leadership
positions at several boutique investment firms and has cross-functional expertise across the financial services vertical. His
network of professional relationships includes global corporations, technology providers, global investment banks, public pension
funds, private equity and venture capital firms. Mr. Weems is recognized as a thought leader and subject matter expert in matters
related to disruptive technology in financial services. In addition to his published research, he has been featured in financial
media publications, both in the US and abroad.

Financial Technology (FinTech)

Social Media

Strategy & Insights

Competitive Analysis

Entrepreneurship & Startups

Financial Services Regulation

Bespoke Research

Electronic/Algorithmic Trading

Business Development

critical

skill

professional

set
employment

history

Founder
Hillcrest Strategies North Carolina
2013 - Present
Independent consulting and advisory firm focused on disruptive technologies and innovation.

Strategic research and advisory for early stage brokerage and FinTech clients
Editorial contributor to online financial media portal with ~27,000 registered users
Bespoke research regarding technology and innovation in financial services
Advisor on social media, content marketing strategy

Consulting Analyst & Contributor

TABB Group New York
2013 - Present
Financial markets' research and strategic advisory firm p on covering market structure, trading, regulatory and technology
issues impacting global equity markets.

Gather, synthesize and analyze information from multiple channels into published reports
Provide thought leadership and analysis of trends in capital markets
Focus on disruption in financial technology
Analysis of regulatory landscape in financial services

Director of Equities
Telsey Advisory Group New York
2011 - 2012
MARLON WEEMS | Page 1 of 3

Marketing of proprietary research and advisory services focused on the broad consumer sector, development of corporate
buyback and trading relationships. Development of trading strategies targeted to tier-one investment managers, U.S.
pension funds, hedge funds and Fortune 100 client accounts.

Team member for Capital Markets Group presentations to corporate clients

Expanded the firms secondary trading business with key institutional accounts
Marketed proprietary research product to top tier and mid-tier institutions
Development of corporate buyback program

Managing Director, Head of Equity Sales & Trading

Cantor Fitzgerald Affiliate (CastleOak Securities) New York
2006 2011
Responsibility for launch of equity group, implementation of equity trading strategies. Management of associated regulatory
compliance and trading risk. Supervision of equity group consisting of 8-10 sales-traders and desk analysts.
Generated ~$8M in revenue over 4 years at rate of 41% CAGR
Built client base of more than 40 institutional investors
Launched corporate share repurchase business, ~$4 billion in notional value traded
Managed ~$1 million annual operating budget

President & Chief Operating Officer

MultiTrade Securities - New York
2005 - 2006

Development of corporate strategy, led effort to revamp existing product offerings

Grew annual revenues by 30% year-over-year
Decreased trading costs through trading technology upgrades
Transitioned business from research-based model to electronic trading model
Responsibility for regulatory oversight

Managing Member
Saratoga Capital New York
2002 2004
Responsible for launch of equity trading operations and management of associated regulatory compliance and trading risk.
Supervision of equity group consisting of 3-4 traders and 1 quantitative strategist.

Founding partner responsible for the management and supervision of firm

Developed sales and marketing strategy for the firm
Marketed firms proprietary quantitative trading strategies to institutional clients
Responsibility for regulatory oversight

volunteerism
Board Member (Member, Executive Committee) - ILM/Carolina Coast Innovation Council (InnovateNC)
A two-year learning collaborative across five NC communities (outside of Charlotte, Durham, & Raleigh) seeking to build
and sustain their innovation ecosystems. The initiative, led by the Institute of Emerging Issues and nine partners, is a firstin-the-nation effort to spark innovation-centered economic development.
Advisory Board Member (Chair Marketing Committee) UNCW Center for Marine Science (MARBIONC)
MARLON WEEMS| Page 2 of 3

Marine Biotechnology in North Carolina (MarBioNC) is an R&D-based economic development program based at the
University of North Carolina Wilmington that discovers, develops and markets new products and technologies derived from
the sea.
Cameron Executive Network - Cameron School of Business, University of North Carolina at Wilmington
CEN is a volunteer network dedicated to enhancing the education and career development of Cameron School of Business
students and alumni. CEN's core activity is mentoring CSB students, but members may also participate in other activities,
including helping students prepare resumes, teaching interviewing and networking skills, guest lecturing in undergraduate
and graduate classes and serving as industry experts for program committees or discussion panels.

professional

development

Formerly Held FINRA Securities Licenses

Series 3 - Commodities Futures
Series 7 General Securities
Series 52 - Muni. Sec. Representative
Series 65 - Investment Advisors Law

Series 24 Gen. Securities Principal

Series 63 - Securities State Law

Series 53 - Muni. Sec. Principal

Series 66 - Combined State Law

published

Series 55 - Equity Trader Qualification

research

&

articles

Competitive Adaptability in an Opaque Market (Forthcoming) TABB Group

The Future for Robo-Advisors: BlackRocks Latest Acquisition Is a Sign of Things to Come September 2015,
TabbFORUM.com
Robo-Advisors vs. Traditional Advisors: The Battle for the Hearts and Minds of Investors - September 2015,
TabbFORUM.com
History Repeating: Brazils Adoption of E-Trading Mirrors Evolution in the US - December 2014, TABB Group
Electronic Trading Outlook for Brazil: Trading Faster, Trading Smarter November 2014, TABB Group
The Transformative OMS: From Tickets & Timestamps to Todays Technologies August 2014, TABB Group
HFT, Maker-Taker and Small Brokers: There Goes the Business Model - August 2014, Hillcrest Strategies Blog/
TabbFORUM.com
The Modern Sell Side: Stories of Buy-Side Values - October 2013, TabbFORUM.com
Disintermediation: The Real Race to Zero - September 2013, TabbFORUM.com

education

Business Administration, Journalism - University of Arkansas, Fayetteville, Arkansas

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