Livsan Properties LLC

A short term rental property management company focused on golf course properties, e.g., Quail Ridge CC, Boynton Beach, FL.

Managing Member

Girard Investor Services Inc.

A Mutual Fund Dealer and Exempt Market Dealer regulated by the AMF and the OSC.

Girard distributed private real estate funds, e.g. Centurion Apartment REIT and Fidelity funds to accredited investors mostly to those seeking stability and income from their investments.

Investment Operations

Palos Management Inc.

For nearly ten years, I helped a money management firm grow and retain their retail and high net worth client base while doing all regulatory compliance with the AMF (other regulators included the Ontario Securities Commission and Fintrac).  I was the contact person for all SRO regulatory issues and reported to the firm's board of directors annually.

The firm grew from 13 million AUM to 250 million in assets under management during my ten year tenure. 

Chief Compliance Officer - I was listed on the National Registration Database (NRD) as Chief Compliance Officer (CCO) and Dealer Representative in all Provinces in the categories of portfolio manager, exempt market dealer and investment fund manager.  I attended legal workshops and industry events on regulatory compliance and was required to keep abreast of all regulatory changes.  I had to take numerous exams to maintain compliance with the regulations on continuing education.  I helped the firm build a 'culture of compliance' by offering semi-annual instructional meetings, e.g., insider trading, money laundering.

Relationship Manager - Acting as the firm's main contact with the client, managing the business relationship.  I was licensed as the Dealer Representative responsible for approximately 350 clients who held custody/brokerage accounts at Penson, National Bank Clearing Network, RBC Investor Services and TD Waterhouse.  I opened their Cash, TFSA, RRSP and RESP accounts, and invested their monies.  

Fund Administration - I oversaw the 'pooled' fund investment administration of our various exempt funds for accredited investors from a unitholder compliance and a FundSERV distribution network viewpoint.  I aided in resolving the differences and making the corrections for all pooled fund unitholders.

Chief Compliance Officer & Dealer Representative

Independent Trader

For a decade, I successfully traded equity options (CBOE, AMEX, PHLX) and to a lesser degree financial futures (IMM & CME, LIFFE).  I used a wide variety of tools for trading purposes, inclusive of Value Line Reports and Interactive Brokers.  Additionally, I taught others how to profit from covered call writing which was my principal activity.

Derivatives Trader

Pictet & Cie

Senior level responsibilities included marketing the Pictet Emerging Markets Fund to major institutional accounts in the USA and global custody marketing. Extensive travel. Hired by Senior Partner in Geneva (Charles Pictet)

Fund Marketing & Custody Officer

Research & Trading Inc.

Early attempt at providing e-services to the Phila. Stock Exchange, for the Foreign Currency Option program using CompuServ (CIS) technology.  Start-up failed.

Owner

Chemical Banking Corporation (now part of JP Morgan Chase)

Senior level responsibilities included global institutional marketing and brokerage of currency options as well as currency settlements and clearinghouse administration.

Member of the Phila. Stock Exchange (PHLX) and the Options Clearing Corp. (OCC).  I also sat on a PHLX new option listing committee.

Chemical Futures & Options Inc. bought Manufacturers Hanover Financial Options Group Inc. which had purchased my company called, Financial Options Group (FOG) Sept. 1985.

FOG became one of the largest, listed, foreign exchange options brokers in the US.

VP Chemical Futures and Options Inc.

Euro Brokers Harlow & Co.

Broker for regional, money-center, and foreign banks.  Dealt with the treasury staff who either had or wanted inter-bank dollar deposits and were willing to pay (or receive) LIBOR plus a commission.  Working knowledge of Clearing House Interbank Payments System (CHIPS).

Euro-Dollar Broker

Internship position (night shift) supervising conversions / migrations to the IBM System/32.  

The IBM System/32 (IBM 5320) introduced in January 1975 was a low-end business computer. It was used primarily by small to midsize businesses for accounting applications.

System Engineer

Rockywold Deephaven Camps

Seasonal position where I worked as part of the outside crew team delivering ice and firewood in a wheelbarrow each day to rustic lakefront cabins on beautiful Squam Lake.  The staff, guests and social activities made this an unforgettable summer work experience.

Taplio

Robert Sands's Linkedin Analytics

Robert Sands

Want to drive more opportunities from LinkedIn?