Investment Banking Team

Douglas K. Aguililla — Director, Investment Banking

Mr. Aguililla has been in the financial services industry for over 25 years, and serves ViewTrade Securities as Director, Investment Banking. Prior to joining ViewTrade Securities, he served as Executive Managing Director, Investment Banking at Newbridge Securities Corporation. Under his leadership, the investment banking at Newbridge managed, co-managed or participated in transactions totaling over $2 billion. His focus has been on capitalizing companies in the small/mid-cap markets in various industries, including Homeland Security & Defense, Oil & Gas, technology, healthcare and Life Sciences as well as those in the Global Emerging Markets of Latin America, Europe and Asia. His duties include the origination of new business for the firm, as well as management and coordination of all execution activities of the department. In 1997 Mr. Aguililla was Head of Investment Banking for Emerson Bennet & Associates, a firm he co-founded; which grew to over 200 employees. Furthermore, he also has served as equity trader/market maker at Brauer & Associates which included proprietary trading, market making in equities, and serving as a municipal bond principal. He previously served on the Board of Directors and currently serves as the Chairman of the Syndicate Committee for the National Investment Banking Association, a non-for-profit national organization for investment bankers in the small to mid-cap space.

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Brian Herman — Managing Director

Mr. Herman has been in the securities industry for over 25 years, he joined ViewTrade Securities, Inc. as Managing Director in 2000. Prior to joining ViewTrade, Mr. Herman ran a private client base of high net worth clients. Throughout his career Mr. Herman has serviced and assisted institutional accounts with investment banking and trading. Mr. Herman has structured and lead or advised dozens of private and public offerings. Mr. Herman has been interviewed and quoted in publications such as The Street.com and Investor's Business Daily.

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Claude Ware — Director, Capital Markets

Mr. Ware has been in the Securities Industry for over 28 years. He left A.G. Edwards in New Orleans in 1986 to join Drexel Burnham Lambert in Boca Raton, Florida. Mr. Ware worked for various firms, including Paine Webber (now UBS) and Prudential Securities as a Senior Vice President of Investments. As a Senior Vice President, Mr. Ware mainly focused on advising high net worth individuals. In 2003, Mr. Ware joined ViewTrade Securities where he is currently in charge of Capital Markets.

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Lisa Ciervo – Administration

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Peisha Shen – Associate

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