Joseph F. Hunter, President and Chief Executive Officer
Joseph joins EQIS as a Senior Financial Services Executive with deep and broad-based experience in correspondent clearing, self-clearing and fully disclosed operations. Joseph has extensive management experience in both product and project development, Section 16 /20 firm development, and Managed account clearing operations. Joseph is adept in personnel management, as well as Retail/Institutional Trading operations, and Call Center management expertise. He is a proven Project/Program manager and a recognized innovator of brokerage/RIA evolutionary changes.
Joseph’s industry experience includes; President, Financial Services International Corp – a FINRA/SEC registered Broker Dealer, Senior Vice President, Broker Dealer Operations, Curian Capital, Senior Vice President, Correspondent Implementations, National Financial/Fidelity Investments, and Senior Vice President, Broker Dealer Operations Executive, Banc of America Investments.
Joseph holds the FINRA Series 7, 9, 10, 24, 27, 53, and 63 securities licenses and is a graduate of the University Of Washington’s Pacific Coast Banking School, in Seattle, Washington.
Kenneth Kim, PhD, Chief Economist, Chief Financial Strategist
Ken began his career in finance more than 20 years ago as a research assistant at the PACAP Research Center in Rhode Island. He has worked as a senior financial economist at the U.S. Securities and Exchange Commission, as a consultant for the CFA Institute, as a special consultant for the Securities Litigation Consulting Group and as an academic consultant for the Kuala Lumpur Stock Exchange. He is also a highly accomplished finance scholar and professor of financial strategy, investments, portfolio theory, derivative securities, business economics, and financial risk management. He has held academic appointments at 16 different universities around the world and has served on the board of directors of multiple academic organizations.
His research has been widely-published in peer-reviewed journals, and he has been cited or quoted in the likes of the Wall Street Journal, the Financial Times, BusinessWeek, Barron’s, The New York Times and many more. Ken is also a Forbes contributing columnist.
He is a frequent speaker at conferences, corporate trainings and executive development programs. He holds a PhD from the University of Rhode Island, an MBA from the University of Detroit and a BA from the University of Michigan. Ken also maintains the FINRA Series 65 securities license.
Jonathan Shiffer, Chief Investment Officer
Jonathan is founder and Chief Investment Officer of Journey Capital Advisers, a multi asset class investment management company. Prior to joining EQIS he was Head of Portfolio Management / Portfolio Manager with Curian Capital LLC, managing in excess of $21 billion. Previously, Jonathan was Chief Investment Officer of a multi-billion dollar institutional investment management firm in Dallas, TX. Jonathan holds a Master of Business Administration from the University of Texas at Dallas, with additional studies towards a PhD. With almost 20 years of experience in managing for direct investment and asset allocation funds, he is an expert in capital management.
Marc van Rijssen, VP, Head of Trading
Marc has been working in the financial services industry since 1999. He earned his B.A. in mathematics from Hobart College (NY) and holds the FINRA Series 7, 24, 55, and 63 securities licenses. Marc has progressive experience in broker/dealer and trading operations within start-ups and multi-billion dollar organizations. He has demonstrated ability to streamline business operations that drive growth and increase efficiency. He has strong qualifications in developing and implementing controls and processes in addition to productivity improvements and change management. He possesses solid leadership communication and interpersonal skills to establish rapport with all levels of staff and management.
Marc was previously a VP, Head Trader at Curian Capital where he oversaw all aspects of trading.
Lisa M. Curran, Chief Administrative Officer
With over twenty years in the financial services industry, Lisa brings broad experience in all aspects of business operations. She specializes in integrating technology to support business processes and has in-depth experience directing strategic planning efforts to achieve business goals, successfully managing multiple cross-functional teams to guide projects to completion. Before joining EQIS, Lisa was Executive Vice President and Chief Technology Officer for Financial Services International Corporation. In addition to serving as an independent business consultant for many years, Lisa’s previous roles include AVP of Operations for Curian Clearing LLC, and Compliance Officer, VP of Technology for Diablo Funding Group. Lisa holds the FINRA Series 7 and 24 securities licenses.
Michael Trott, Chief Financial Officer
Michael brought to EQIS his experience as a financial executive in the consumer products industry. He has over 30 years of experience in finance including more than 15 years as a CFO. He is responsible for EQIS’s financial management functions, including financial reporting, tax, audit, treasury, human resources, corporate development and investor relations. Prior to joining EQIS, he held senior positions at both large and small companies, public and private. Michael’s finance specialties include: private and public equity and debt markets, corporate finance and HR management, investor relations, mergers and acquisitions, business process improvement, and risk management. Michael is a graduate of California State University East Bay, B.S. in Accounting and Business Management.
Susan Woodard, Chief Compliance Officer
Susan joined EQIS as Chief Compliance Officer in April 2018. She is responsible for implementing a robust, efficient, and effective compliance program to address regulatory, firm, and other risk management requirements. She has 18 years of industry experience and 17 years of investment adviser and broker-dealer compliance experience. Susan earned a B.A. in economics and mathematics from Smith College and holds the FINRA Series 7, 24, 31, 53, and 66 securities licenses.
Prior to joining EQIS, Susan was Chief Compliance Officer for Victory Capital Advisors (via RS Investments), where she was responsible for the broker-dealer compliance program, approval of all firm marketing, and oversight of the firm's conflicts of interest compliance program. Prior to Victory Capital, she spent seven years at BlackRock (via Barclays Global Investors), where she provided overall compliance support for BlackRock’s broker-dealer entities and led the marketing compliance program for the firm’s retail and institutional product lines and businesses. Earlier in her career, she held compliance roles at First Republic, Commonwealth Financial Network, and Investors Capital.
Tim Parkinson, Chief Distribution Officer
Tim brings nearly three decades’ experience in financial services sales/distribution leadership. Previously, Tim was a Divisional Vice President with Curian Capital LLC, where he was recognized for key recruitment, development, and leadership of 23 award-winning consultative sales professionals for Curian's $12B TAMP platform. Additionally, Tim assisted independent advisers with practice management, analysis, and valuation, as well as customized marketing and distribution strategies. In prior roles as Regional Vice President and Vice President at The WM Group, Bear Stearns, and Fortis Investors, Tim led multiple territories to top-performing status in Variable Annuity, Variable Life, Mutual Fund, Separate Account, and Third-Party-Platform sales through both independent and wirehouse channels. Tim has delivered thousands of client, adviser, and industry conference presentations on topics ranging from current capital market perspectives to performance attribution to behavioral psychology and finance. Tim is a graduate of the University of Utah with a BA in Mass Communications/Public Relations and minor in Economics, and has previously held the FINRA Series 24, 7, 63, and 65 securities licenses.
Vanessa Knightly, VP Operations
Vanessa joined EQIS with more than a decade of financial services experience. She began her career at Woodbury Financial Services as a successful financial advisor. She most recently served in several leadership roles for Assetmark, ranging from trading, operations, and the customer experience. Vanessa has a passion for process improvement, which has resulted in saving over 100 hours and making teams more efficient. Vanessa received a BA in Business Administration from St. Mary’s College of California and holds the FINRA Series 6, 7, and 63 securities licenses.
Bill Servis, SVP Key Accounts
With more than twenty-five years of experience in the financial service industry Bill has worked in the retail side of the business as a financial advisor as well as an RIA. He has also worked as a wholesaler and business consultant representing alternative investments and managed money platforms to financial representatives nationwide. His experience has given him a unique perspective and ability to work with advisors to develop rewarding financial strategies. As a testament to that, he was the recipient of the Broker-Dealer Financial West Group’s 2014 Wholesaler of the Year Award.
Since working with EQIS he remains committed to industry-leading professionalism, his passion for working with people, his financial services skills and outstanding results. In 2018 Bill was presented with the Centaurus Extra Mile Award. This award recognizes individuals who have gone above and beyond their regular assignment in specific and recognizable ways. While many go the extra mile all the time, this award acknowledges the service and dedication of those who take on one or more special initiatives that helps the organization through service they were not called upon to do.
For the past 30 years and counting Bill has been the business manager for World Golf Hall of Fame member Johnny Miller. In addition to golf, Bill has a passion for riding and collecting Harley-Davidson motorcycles. Bill lives with his wife Kyle in Carmel, California.
Nikki Jagdman, Adviser Services Manager
Nikki began her career at EQIS in Operations and has been promoted many times to meet the growing needs of the organization. Nikki quickly became an Internal Business Consultant (IBC) partnering with financial advisors to build their business. Leveraging her skills as and IBC, Nikki then assumed the role of National Training Manager. Most recently, she was promoted to Adviser Services Manager.
Joe Mooney, Internal Sales Manager
Joe brings a wealth of knowledge with over 17 years of industry experience in a wide range of roles. He began his career as an institutional market maker for Banc of America Securities, spent time as a financial advisor with Merrill Lynch and a Gold Relationship Manager with AssetMark.
Joe is a native of the Bay Area and studied economics at UCLA. He holds the FINRA Series 7 and 66 securities licenses.