CASTLEOAK SECURITIES - Key Persons

Job Titles:

• Managing Director, Head of Equity Sales & Trading

Prior to CastleOak, Mr. Cabana was at Topeka Capital Markets as Head of Quantitative Portfolio Trading. Prior, he was at Cantor Fitzgerald as a Managing Director of global program trading, Knight Capital Group as a Director on the program trading desk, Bloomberg LP running several sales teams including trading systems and equity, fixed income and foreign exchange electronic trading platforms, and Foreign exchange departments of Morgan Stanley and Bear Stearns. He holds a BA in Economics and Spanish from Bucknell University, and an MBA in Finance and a Masters in BCIS from Hofstra University.

Job Titles:

• Managing Director, Head of Fixed Income

Mr. Davis has 35 years of trading, underwriting, sales, investment advisory and executive level management experience in the institutional fixed income markets. In his current role, Mr. Davis oversees Fixed Income for CastleOak. He also has an active and direct role in the origination and trading of Agency and Supra securities and all money market instruments. Prior to joining CastleOak Securities, Mr. Davis managed the Treasury, Agency and Money Markets group at Finacorp Securities and led the Taxable Trading department at Seattle-Northwest Securities, where he also founded the firm's investment advisory business. Prior to Seattle-Northwest, Mr. Davis was the Northwest Region Sales Manager for BA Securities, the Fixed Income Trading Manager for US Bank, and a Money Market Trader for First Interstate Bank. Mr. Davis is a graduate of Oregon State University where he earned a B.S. in Finance. He holds FINRA licenses Series 7, 24, 52, 63 & 65.

Job Titles:

• Managing Director, Head of Legal and Compliance

Mr. Booker is a New York attorney who joined CastleOak in 2023, bringing over 25 years of legal experience. He oversees legal, compliance, and risk activities for the firm across all business lines. Prior to joining CastleOak, he was a Managing Director and Senior Counsel at the New York office of Crédit Agricole Corporate and Investment Bank, where for more than 15 years, he oversaw, among other things, legal work pertaining to OTC traded products in the Americas. Previously, Mr. Booker was a Director and Counsel in the New York legal department of Credit Suisse. In addition, prior to going in-house, he practiced for several years in New York with the law firm Milbank, Tweed, Hadley & McCloy and then the law firm Paul, Hastings, Janofsky & Walker. He is also a frequent presenter at various programs and law schools. Mr. Booker holds a BA from Wesleyan University and a JD from Cornell Law School.

Job Titles:

• Chief Executive Officer
• Co - Founder
• Partner
• President

David R. Jones is the Co-Founder, President and Chief Executive Officer of CastleOak Securities, L.P. CastleOak Securities is a leading boutique investment bank with a broad offering of financial services including equity sales and trading, fixed income sales and trading, and financial advisory services. Since founding CastleOak Securities in 2006, Mr. Jones has overseen the substantial growth of both the firm's business activities and personnel. Mr. Jones has led the firm as it increased its underwriting, distribution, and trading in a full range of securities while expanding its footprint to 6 offices across the United States. Under Mr. Jones' leadership, CastleOak quickly became, and has consistently stayed, a top-ranked Minority and Women-Owned (MWOB) firm in lead-managed domestic agency, investment grade corporate, and structured finance underwritings, as listed by Bloomberg and Thomson Reuters. Mr. Jones has over 30 years of Wall Street experience, and prior to founding CastleOak was Head of Investment Banking and Capital Markets at Blaylock & Company, Inc. where he worked closely with many of the firm's Fortune 500 clients. Mr. Jones joined Blaylock from Merrill Lynch where he worked in the firm's investment banking and equity capital markets areas. Mr. Jones has significant experience in evaluating equity and debt market trends within industry sectors, valuing and positioning public companies, and marketing and syndicating public security offerings to institutional clients. Mr. Jones holds an MBA from the University of Pennsylvania, The Wharton School and a B.S. from Boston University. He is the Chair of The Ohio National Financial Services, Inc. Advisory Board; a member of The New Jersey Performing Arts Center Board of Directors, The New York Chapter Young Presidents' Organization, and The Executive Leadership Council; and a Trustee for the PGA REACH Foundation. He formerly served on The Board of Overseers of Boston University (2012-2019) and was a member of The Wharton School Graduate Executive Board (2012-2023). Mr. Jones was named one of the 75 Most Powerful Blacks on Wall Street by Black Enterprise Magazine.

Job Titles:

• Managing Director, Head of Money Fund Solutions

Mr. Guardino joined CastleOak Securities in 2020 with two decades of banking and capital markets experience. Throughout his career, Mr. Guardino has advised corporate clients on strategic capital raising, capital allocation policy, and liquidity management, with an expertise in debt capital markets, commercial paper origination, share repurchase, and liquidity solutions. Prior to joining CastleOak, Mr. Guardino was a Managing Director at Mizuho Securities and Director at Citi, where he worked with Fortune 500 Treasury teams across the corporate sector for approximately twenty years. Mr. Guardino earned his B.S. from Rutgers College, where he majored in finance and graduated cum laude.

Job Titles:

• Managing Director, Chief of Staff to the CEO

Ms. Shah joined CastleOak Securities, L.P. with over two decades of financial services experience. She works across the management team to execute the firm's operational and strategic plans, runs the Office of the CEO, and leads the firm's marketing, project management, and administrative efforts. Prior to joining CastleOak, Ms. Shah served as Chief of Staff to the CEO at PGIM, Prudential's asset management business, and Chief of Staff for Northwestern Mutual's New York campus after it acquired a fintech firm. Ms. Shah started her career marketing and structuring fixed income derivatives and structured products, specializing in tax-exempt clients across a diverse array of sectors, leading teams at JPMorgan and UBS. Ms. Shah obtained her degrees from the Wharton School of Business, University of Pennsylvania where she graduated with the highest honors as a Joseph Wharton Scholar.

Job Titles:

• Head of Finance
• Managing Director

Mr. Gomez joined CastleOak Securities, L.P. in 2021, bringing over two decades of financial services experience. Prior to joining CastleOak, Mr. Gomez was at Pico Corvil, where he was the Director/Global Entity Controller managing all internal and third party financial functions. Prior to that, Mr. Gomez was the Chief Financial Officer for Merrill Lynch Professional Clearing Corp and Business Unit Controller for Broadcort, both divisions of Bank of America Merrill Lynch. He started his career at Weiss, Peck & Greer, an investment management/broker-dealer as Senior Vice President of Finance. Mr. Gomez holds a Bachelors Degree in Accounting from Baruch College CUNY.

Job Titles:

• Advisor
• Executive Vice President
• Senior Advisor

Mr. Turner, who joined CastleOak in 2008, has over 30 years of investment banking, capital markets and financial advisory experience. Currently a member of the firm's Operating Committee, Mr. Turner has served in various capacities within Investment Banking and Executive Management, including as Head of Investment Banking from 2008 - 2020. He was also a Partner with the firm from 2015 until 2022, when he decided to take a step back from his corporate responsibilities and move to a more flexible advisory role. Mr. Turner has extensive experience covering the financial, energy/utility and technology/media/telecommunications sectors as well as selected Government Sponsored Enterprises. At CastleOak, Mr. Turner managed a multi-sector client coverage effort while leading a team responsible for new business development and client relationship management. Mr. Turner has also overseen the firm's Advisory and Money Fund / FX Portal businesses. Prior to CastleOak, Mr. Turner worked for 8 years in a number of banking and management capacities at Blaylock & Company, serving as Interim Head of Investment Banking and Chief Administrative Officer. His transaction experience includes both debt and equity transactions, encompassing a number of milestone mandates and initial public offerings. Prior to Blaylock & Company, Mr. Turner worked for 12 years at Prudential Securities Inc., primarily as a Capital Markets Director within the Taxable Fixed Income Department. Mr. Turner holds an MBA from Harvard Business School and a B.S. in Commerce from the University of Virginia. Mr. Turner has served on the Board of Directors of Chevron Credit Bank, N.A. and as the President of the Board of Trustees for the Virginia Athletics Foundation. He holds FINRA series 7, 79, 24 and 63 licenses. If you are interested in joining the CastleOak team, please visit our careers page here.

Job Titles:

• Advisor
• CEO
• Senior Advisor
• Senior Advisor to the CEO

Milton Irvin serves as Senior Advisor to the CEO. Mr. Irvin is a former Managing Director and Americas Head of Diversity and Inclusion for UBS. Before joining UBS, he served as President and Chief Operating Officer of Blaylock & Partners, a minority investment banking firm, and Imbot.com, an Internet start-up. Previously, Mr. Irvin spent nearly twenty years at Salomon Brothers, holding positions in Fixed Income Sales and Sales Management. Mr. Irvin served on the Wharton Graduate Executive Board. In 1994, President Clinton appointed him to the Advisory Committee of the Pension Benefit Guaranty Corporation and served as its Chair from 1995 to 1998. A founding member of the Executive Leadership Council, Mr. Irvin serves as Chair of its Investment Committee.

Job Titles:

• Partner
• Executive Vice President, Fixed Income

Patrick de Catalogne is Executive Vice President, Fixed Income. Mr. de Catalogne has a background in all fixed income products, with a focus on MBS, ABS and corporate bonds. Prior to joining CastleOak, Mr. de Catalogne was a Managing director at Blaylock & Company, Inc. where he was instrumental in the distribution of primary and secondary fixed income bonds and also managed the firm's Atlanta office. He has previously held positions at JP Morgan, Société Générale, and Interstate/Johnson Lane, Inc. Mr. de Catalogne received his Bachelor's degree from Hofstra University. He holds NASD Series 7, 24 and 63 licenses.

Job Titles:

• Co - Founder
• Executive Vice President
• Head of Operations
• Partner
• Co - Founder of CastleOak Securities, L.P

Philip J. Ippolito is a partner and co-founder of CastleOak Securities, L.P., as such; he has played a key role in the development and the implementation of the firm's financial, operational, information and administrative systems. Mr. Ippolito was the firm's CFO for its first 15 years, managing the firm's capital position and finances on a day-to-day basis, as well as stewarding its overall financial condition in his role as the firm's Financial and Operations Principal. He is currently the head of the firm's operations team, overseeing all aspects of account opening and maintenance, risk, as well as the clearance and reporting of all firm transactions. In addition, Mr. Ippolito manages the firm's technology services. Prior to helping found CastleOak, Mr. Ippolito was with Blaylock & Company, Inc., where he was the Head of Operations & Financial and Operations Principal, and built its operations systems from the ground up. He also assumed many of its financial operations responsibilities, and was named CFO. Prior to joining Blaylock, he was the Director of Operations at Brounoff Claire & Co. Inc. and also held management positions at First Pennsylvania Bank, Bradford SPS, Pershing & Co. and Donaldson, Lufkin & Jenrette. Mr. Ippolito has 40 years of Wall Street experience. He attended Brooklyn College and holds Series, 7, 27, 63, and 79 FINRA licenses.

Job Titles:

• Head of M & a Advisory & Managing Director, Investment Banking

Mr. Hollinger joined CastleOak in 2014 bringing over two decades of corporate finance and M&A expertise. Throughout his career he has advised on completed M&A transactions totaling over $79 billion. Mr. Hollinger's transaction experience is particularly deep in the media, communications, and consumer sectors. He has advised a broad range of Fortune 500, middle market, and financial sponsor clients. His work experience spans both investment banking and private equity including former senior positions at SunTrust Robinson Humphrey, Quetzal/J.P. Morgan Partners, Chase Securities, Paine Webber, and Morgan Stanley. He has also served on many corporate and non-profit boards and formerly chaired the Board of Trustees of The Montclair Art Museum. Mr. Hollinger obtained his Master's degree from the Harvard Business School and his Bachelor's degree from Williams College, where he double majored in Russian and Political Science and graduated with distinction.

Job Titles:

• Partner
• Executive Vice President, Head of Capital Markets & Syndicate
• Managing Director, Head of Capital Markets

Mr. Bacon joined CastleOak as Managing Director, Head of Capital Markets and Syndicate with over 20 years of finance experience, and was promoted to Partner and Executive Vice President in 2022. Mr. Bacon has spent the majority of his career advising North American financial institutions in raising capital and liquidity in the global debt and equity capital markets. Prior to joining CastleOak, Mr. Bacon was a Director at UBS Investment Bank working in the Global Capital Markets group where he assisted Treasury/Funding teams with strategic funding initiatives, derivative risk management, structured products and debt repurchases. He holds a Bachelors Degree in Finance from Howard University as well as FINRA series 7, 79, 24 and 63 licenses.

Job Titles:

• Managing Director, Head of Private Capital Advisory

Mr. Andrews has over 30 years of Wall Street experience. In his current role, he advises limited partners on liquidity solutions for their private asset portfolios. Prior to CastleOak, Mr. Andrews was a Managing Director at RBC Capital Markets where, among other responsibilities, he founded and co-headed Alternative & Private Capital Solutions, working with third-party capital providers on originating, structuring, and distributing bilaterally negotiated financing solutions. While at RBC, Mr. Andrews also was Head of Client Coverage for Alternative Finance (CLOs and credit financing) and ran the Sponsor Coverage practice for Markets. Prior to RBC, he was at Citi for over 20 years, working his way up to Co-Head of North American Structured Credit Sales. He holds a BA from the University of Maryland and an MBA from New York University's Stern School of Business.