Team — Stock Securities | Corporate Strategy | M&A Transactions | Private Placements

EXECUTIVE TEAM

Keith Stock
President and Chief Executive Officer

Mr. Stock is a financial services executive, investment banker, and international markets strategist focused on commercial banking, capital markets, consulting services, diversified finance, fintech, insurance, investment and technology industries. He also serves as the Chairman and Chief Executive Officer of First Financial Investors, Inc., Senior Executive Advisor with Brookside Equity Partners, and Executive Chairman of First Bermuda Securities Ltd. Previously Mr. Stock served as Executive Chairman and Officer of Clarien Bank (Bermuda) Limited, Chief Strategy Officer and member of the Office of the CEO of TIAA, and President of Mastercard Advisors where he was a member of Mastercard Worldwide’s Joint Policy and Operating Committee.

Earlier, Mr. Stock held executive positions with banking, management consulting, and technology services firms including McKinsey & Company, AT Kearney, and Capgemini. He served as Chairman and Chief Executive of St. Louis Bank and Chairman and President of Treasury Bank Limited. He has served on a number of bank, fintech, insurance and investment company boards of directors including asset/liability management, audit, compensation, credit and investment committees. Mr. Stock began his career as a credit review analyst with the Mellon Bank (now BNY Mellon). He is a Director and Finance Chair of the Foreign Policy Association, Director of U.S. defense contractor The Entwistle Company, Chair of the President’s Council of AFS-USA, Inc., and a member of The Economic Club of New York and The Griswold Center for Economic Policy Studies. Mr. Stock earned an A.B. from Princeton University and an MBA with distinction in finance from the Wharton School, University of Pennsylvania. He holds Series 24, 63, 79, 82 and 99 securities licenses as a FINRA registered representative.

Daniel Rowe
Principal and Registered Representative

Mr. Rowe is a Principal and Registered Representative of Stock Securities LLC having served as its President and Chief Executive Officer from 2013 to 2021. He serves as a strategic advisor and investment banker to the Firm’s music, entertainment, music technology and related software services clients. Mr. Rowe also serves as Chief Financial Officer of Firebird Music Holdings, LLC, the Los Angeles-based music company focused on artist management and music recording.

He is the founder and a Principal of Dan Rowe Entertainment LLC and One Riot LLC, companies engaged in music publishing and production. Mr. Rowe is also the founder of three entertainment businesses including Sonibyte, Wondermore Records and Atlas Music Publishing. He has worked extensively in music management and production serving artists such as Kool & The Gang and George Clinton. Mr. Rowe has contributed in a variety of roles to albums produced under BMG, Sony and Windham Hill labels. Mr. Rowe previously served as a finance professional with TVT Records and TVT Music Publishing, independent record label owners and managers. He is a member of the American Recording Academy and the American Music Association.

Mr. Rowe received a B.M. in Music Composition and B.A. in Math-Economics from Ithaca College and an MBA from the Tuck School of Business at Dartmouth College. He holds the Series 7, 14, 24, 63, 79 and 99 securities licenses as a FINRA registered representative.

Richard Vinchesi
Registered Representative

Mr. Vinchesi has more than 30 years of experience in corporate finance, investment banking and executive management. He focuses his investment banking practice on mergers & acquisitions and capital raises for growth-oriented companies. His capital raising experience spans SEC registered and unregistered types of placements including preferred stock offerings (both venture and later stage), private placements of common stock, limited liability company units and similar types of restricted private securities, mezzanine loan structures, IPOs, and high yield bond offerings. Mr. Vinchesi has also served as full-time Chief Financial Officer and Chief Operating Officer of several small and mid-sized companies including Personify, Inc. and Inter-Act Electronic Marketing, Inc.

Mr. Vinchesi also serves as the founder and Chief Executive Officer of Olympic Advisors, Inc., an independent management consulting firm focused on assisting small and medium-sized companies in their development and implementation of business, capital, financial, operations, and strategic plans. He is active in providing outsourced executive leadership in a consultancy role for clients’ CEOs, executive teams, and boards of directors in need of leadership augmentation.

Earlier in his career, Mr. Vinchesi was an investment banker with Salomon Brothers in New York specializing in bringing first-time securities issuers to the public markets for equity and debt financings. While with Salomon Brothers, Mr. Vinchesi covered a number of companies and industries including Media and Telecommunications. Mr. Vinchesi received a B.S from the New York University Stern School of Business and an MBA from Northwestern’s Kellogg School of Management. He holds Series 7 securities license as a FINRA registered representative.

Leonard Barenboim
Chief Compliance Officer

Mr. Barenboim, Chief Compliance Officer of Stock Securities LLC, has worked in the securities industry for 25 years. His practice is focused on providing compliance, document management and related operations support to small and medium-sized FINRA registered broker-dealers and SEC registered investment managers through his firm, ELBI Systems, Inc. Mr. Barenboim is expert in rules and regulations governing a range of securities industry compliance matters as they pertain to the multiple functional disciplines including mergers & acquisitions, private placements, registered and unregistered securities offerings, anti-money laundering, business continuity, client communications, conflicts of interest, and cyber security, among others.

Mr. Barenboim is a native of Odessa, Ukraine. He earned a bachelor’s degree in Economics from Queens College of the City University of New York. Mr. Barenboim holds Series 7, 14, 24, 63, 66, 79, and 99 securities licenses as a FINRA registered representative. He is also registered with the U.S. SEC as an Investment Advisor Representative.

Kathleen Camisa
Chief Financial Officer, Chief Technology Officer, CPA

Ms. Camisa is the Financial and Operations Principal (FinOp) of Stock Securities LLC and a Certified Public Accountant. She began her career with the Firm based in Princeton, New Jersey in 1999. Her work with the Firm is focused on banking and treasury management, books and records maintenance, financial reporting, financial management, regulator relations, vendor management, and technology oversight.

Ms. Camisa also maintains an independently owned and managed financial, public accounting and tax services firm. She is active in providing outsourced FinOp services to a number of FINRA registered broker-dealers.

She holds Series 27 and 99 securities licenses as a FINRA registered representative.

DISCLOSURES REGARDING STOCK SECURITIES TEAM MEMBERS’ OUTSIDE BUSINESS ACTIVITIES

Each member of the Stock Securities’ team (registered representative or “Associated Person”) is permitted to maintain a number of Outside Business Activities as an employee, independent contractor, sole proprietor, officer, director or partner and is compensated or has an expectation for compensation from the Outside Business Activities as a result of his or her engagement in such activities. An Associated Person’s engagement in any Outside Business Activity is subject to compliance with FINRA Rule 3270. Outside Business Activities of Registered Persons and Stock Securities’ Written Supervisory Procedures. Please note: Outside Business Activities may cause or result in the appearance of or a potential actual conflict of interest on the part of an Associated Person and/or Stock Securities with the interests of our client(s). Under such circumstances, Stock Securities has a duty to ensure its clients have complete and accurate disclosure information regarding the nature of any conflict of interest and its implications for our clients.

Under Rule 3270, Stock Securities is required to consider whether any proposed Outside Business Activity of an Associated Person will: (i) interfere with or otherwise compromise the Associated Person’s responsibilities to Stock Securities and/or Stock Securities’ clients or (ii) be viewed by clients or the public as part of Stock Securities’ business based upon, among other factors, the nature of the proposed outside activity and the manner in which it will be offered. Based on Stock Securities’ review of such factors, Stock Securities must evaluate the advisability of imposing specific conditions or limitations on an Associated Person’s Outside Business Activities, including where circumstances warrant, prohibiting any such activity. A list of Stock Securities’ Associated Persons’ Outside Business Activities can be found at brokercheck.finra.org. in each Stock Securities team member’s BrokerCheck Report in his or her Registration and Employment Section.

DISCLOSURES REGARDING STOCK SECURITIES TEAM MEMBERS’ PRIVATE SECURITIES TRANSACTIONS

Each member of the Stock Securities team (a registered representative or “Associated Person”) is permitted to participate in private securities transactions subject to the requirements and restrictions of FINRA Rule 3280, Private Securities Transactions of an Associated Person, and Stock Securities’ Written Supervisory Procedures. Stock Securities mandates that its Associated Persons provide prior written notice and obtain approval from the Firm before he or she participates directly or indirectly in a private securities transaction. Subject to obtaining approval, an Associated Person may participate in a private securities transaction that may involve a securities issuer that is a client of Stock Securities, an Outside Business Activity of an Associated Person, or otherwise present the appearance of or an actual potential conflict of interest with our client(s). Under such circumstances, Stock Securities has a duty to ensure its clients have complete and accurate disclosure information regarding the nature of any conflict of interest.