ROBERT S.

SPIEGEL
26 Round Hill Rd. Armonk, NY 10504
914-806-6441(cell) rs1003904@westpost.net
_________________________________________________________________________

SENIOR SALES EXECUTIVE AND SALES MANGER

Over 15 years of experience successfully selling and managing sales teams within
the financial services industry.
Dynamic results-oriented leader with a strong track record selling financial pro
ducts and services to small businesses, corporations and individuals. I have use
d my relationship building skills to consistently earn top ranks in sales and ne
w revenue generation for the firms I've been employed by. I have a track record
of success across all aspects of the sales cycle from initial outreach, to clos
ing and ongoing business development. I have established many long term and "tru
sted advisor" relationships with individuals, as well as institutional clients (
both large and small) in a variety of industries.
In addition to my individual success, I have leveraged my skills to have a succe
ssful career recruiting, managing and increasing productivity within both large
and small sales teams.

AREAS OF EXPERTISE

* Business Development
* Consultative/Trusted Advisor Selling
* Lead Generation, Prospect Cultivation, Closing
* Excellent Communication Skills, written and verbal
* Strong Presentation and Negotiating Skills
* Team Building, Performance Enhancement, Motivation
* Goal Setting Protocol
* Problem Solving
* Strong Industry Contacts
* Wealth Management
* Series 7 and 63 registered

PROFESSIONAL EXPERIENCE
FAULKNER'S ISLAND CAPITAL, INC. April2009-present Founder
Tarrytown, NY
We provide private equity and venture capital funding, as well as investment ban
king services to small and midsized companies. The firm's focus is on technolog
y, healthcare, alternative energy and financial services companies. We raise ca
pital through a long standing network of UHN individuals, family offices and hed
ge funds.
Notable Accomplishments
* Conceptualized and established a successful boutique financial services firm d
espite depressed market conditions.
* Generated deal flow, researched and performed due diligence on over 100 compan
ies.
* Negotiated terms, structured deals and raised over $15mm in capital for 4 comp
anies over an 18 month period.
* Grew revenues from zero to $1.5mm during the same 18 month period.

ADVANCED EQUITIES, INC. March 2007 -March 2009

Managing Director New York, NY
Traditional investment bank, broker/dealer which raises capital for mid to late
stage private equity deals. The firm focused on the technology, telecom and alt
ernative energy sectors. I raised capital through a network of private clients
and small to midsized institutional clients. The firm is affiliated with several
high profile venture capital funds in Silicon Valley. I acted as a liaison bet
ween senior members of the investment banking team and the sales force, as well
as the VC's and the sales force.
Notable Accomplishments
* Personally raised over $25mm for 5 companies over a 2 year period.
* Exceeded all quarterly sales goals during my tenure at the firm.
* Acquired "presidential" status each of my two years at the firm.
* Recruited, trained and lead a sales team which placed #2 and #1 in 2007 and 20
08 respectively.

CAPITAL GROWTH FINANCIAL, LLC March 2006- March 2007

Director, Private Equity New York, NY
Traditional financial services firm. I placed PIPE's, pre-IPO bridge loans and o
ther "private" transactions with UHN individuals, hedge funds and other institut
ional accounts.
Notable Accomplishments
* Exceed Sales goals by 35% during my one year at the firm.
* Created and developed an institutional effort at the firm.
* Recruited and trained 5 individuals to staff the institutional department.
* Initiated and developed relationships with over 75 institutional accounts.

TRAUTMAN WASSERMAN & CO., INC. March 2001 - March 2006

Managing Director New York, NY
Traditional investment bank, broker/dealer. I managed a client base which focus
ed on private equity and venture capital. Managed a team of 15 sales professiona
ls. Managed an early stage venture capital fund.
Notable Accomplishments
* Conceptualized, created and raised the majority of the capital for a $25mm pri
vate equity/venture capital fund.
* Raised a total of $50mm in capital for 20 private companies over a 5 year peri
od.
* Raised and allocated $10mm for a fund of hedge funds, exceeding goal by 30%.
* Recruited and managed a team of 10 sales representatives who generated over $1
mm in commissions for the firm.

SANDS BROTHERS & CO., INC. November 1990-March 2001

Senior Managing Director New York, NY

Traditional investment bank, broker/dealer. I developed and serviced a client ba

se which focused on private equity and traditional wealth management. I managed
the retail sales force.
Notable Accomplishments
* One of a core group of 5 senior executives that built the firm from the ground
up to 150 employees and 100 sales representatives over a 10 year period.
* Assisted and oversaw the building of all aspects of the firm: Telecom and comp
uter systems, clearing, human resources, operations, research, syndicate, retail
and institutional sales.
* Recruited, trained and managed a 75 person brokerage team. Acted as a liaison
between CEO and the sales force.
* In charge of a sales team that raised $1billion in customer assets over a 10 y
ear period.
* Controlled a $200mm discretionary book of high net worth clients which generat
ed $1mm-4mm in annual revenue.
* Raised $30mm for firm sponsored venture funds and hedge funds.

RODMAN & RENSHAW May 1988-November 1990

Registered Investment Advisor

DREXEL BURNHAM LAMBERT September 1986 - May 1988

Operations Liaison New York, NY
Liaison between back office departments and institutional sales and trading
desks.

EDUCATION
SYRACUSE UNIVERSITY, Crouse Hinds School of Management
Bachelor of Science 1986