TRIAD SECURITIES

The company where
everybody knows your name

Dedicated to customer service excellence for hedge funds, family offices, RIAs and professional traders

THE VISION OF OUR FOUNDER

People and quality service first

As a people-centric organization, our values, established by our founder Richard E. Schultz, extend to the well-being of our employees and success of our clients. Richard set an example with hard work, an ethical approach, and responsible practice. Read his story

Today Triad services over 300 institutional customers while staying true to the principles instilled by its founder: people and quality service first.

quality

Triad’s IPO & Secondary service

known as “The Daily Racing Form” of the new issue trading world, serves as one of our core offerings

Triad also has an agency only trading solution that provides both electronic and high touch trade execution. Additionally, we provide access to independently sourced trading algorithms and new issue data from 20 years of deal flow.

Triad offers boutique and personalized Prime Broker Services through multiple clearing firms. The foundation of these services is our proprietary platform, which ensures efficiency and ease of processing for a unique client experience.

Triad Securities Building
Superior State-of-the-Art Technology
Multiple Custody Clearing Options in 50+ Markets
Customized Reporting and Analytics
Securities Lending, Margin Financing
Global Prime Brokerage Clearing since 1993
Wall Street Headquarters, Established 1976
Full Suite of Electronic Executions
Global Trading Desk

An experienced group of executives focused on our clients

Kevin Schultz
Chairman
Read bio
Larry Goldsmith
President
Read bio
Kenneth Fisher
Chief Executive Officer
Read bio
Nil Bhattacharya
Chief Technology Officer
Read bio
Sis DeMarco
Chief Compliance Officer
Read bio
John P. Hannigan Jr.
Head Sales Trader
Read bio
Sheri Rosen
Senior Administrator, Triad IPO Service
Read bio
Kevin Schultz
Chairman

Kevin Schultz serves as the Chairman of the Board of Directors of Triad Securities Corporation. Since taking over from his father, the founder of Triad, in 2011, Kevin provides vision and overall direction for Triad, meeting regularly with Triad's division heads.

After running his own hedge fund for 17 years, which period includes two separate stints as a portfolio manager at Millennium Partners L.P., Kevin returned to Triad in 2008. Before starting his own hedge fund, Kevin began his career on the floor of the NYSE for Sarroff, Sager & Co and then ran the trading desk at Triad.

Kevin graduated with a Bachelor of Science from Northwestern University in 1988.

Larry Goldsmith
President

Larry Goldsmith is the President of Triad Securities Corporation. Prior to becoming President in 2011, Larry served as Triad's Director of Operations. Larry has more than 30 years of experience in the securities industry, where he has focused on operations, custody, administration and customer service. Larry played a key role in developing the firm's Prime Broker Clearing operations and remains at the center of these operations.

Prior to joining Triad in 1994, Larry spent four years as a Vice President at Bankers Trust Company in its Global Advisor Services division, after beginning his career in 1985 at Thomson McKinnon Securities in its Money Management division.

Larry graduated from Hofstra University in 1985, where he earned a Bachelor of Business Administration in Finance.

Kenneth Fisher
Chief Executive Officer

As CEO, Kenneth Fisher is responsible for Triad Securities Corp.'s vision and strategic direction. Ken's tenure is notable for his hands-on leadership style, grounded in over 15 years experience with Triad. Ken has also served as Director of Electronic Trading since joining Triad in 2005, administering all aspects of the Triad Trader Pro platform, including liaising with order management system representatives, arranging clearing firm coordination, and interfacing with IT staff.

Nil Bhattacharya
Chief Technology Officer

Nil Bhattacharya joined Triad in 2002 and directs the technology team at Triad. His primary responsibility is the design, development, and deployment of information systems that implement Triad's business strategies. To this end, Nil maintains an expertise in established technologies, a keen interest in innovation, and a commitment to recognizing and fostering technical talent.

Prior to working at Triad, Nil was a member of a research group at the Psychiatric Institute (Columbia Presbyterian Medical Center), where he specialized in data analysis.

Nil graduated from Cornell University in 1995 with a Bachelor of Science.

Sis DeMarco
Chief Compliance Officer

Sis DeMarco brings over 35 years of securities industry experience to her role as Director of Compliance, a position she has held at Triad since 2005. In this capacity she oversees regulatory compliance for Triad's sales practice, broker dealer operations, and trade execution business lines, as well as serving as liaison to all regulatory agencies. Prior to joining Triad in 1999, Sis was Compliance Officer and Sales Supervisor for a NYSE floor broker member firm, providing her with an extensive background in equity trade execution.

Sis's securities industry registrations include General Securities Principal and Representative, General Securities Sales Supervisor, Options Principal, Securities Trader and Operations Professional.

John P. Hannigan Jr.
Head Sales Trader

John P. Hannigan, Jr. has over 30 years of experience in the securities industry. John joined Triad in 1993, where he has focused on equity trading and prime brokerage clearance in the U.S. and foreign markets.

Prior to working for Triad, John spent two years with Heritage Financial Group, a division of Mass Mutual Life.

John graduated from Providence College in 1989, where he earned a Bachelor of Science in Business with a concentration in Marketing.

Sheri Rosen
Senior Administrator, Triad IPO Service

Sheri Rosen is the Senior Administrator for the Triad New Issue Service. She is responsible for the overall collection and collation of information on the upcoming IPO, secondary and convertible preferred offerings.

Relationships developed during her 24 years in the securities industry, along with extensive knowledge of historical new issues and filing procedures, afford her a singular expertise in this arena.

Sheri graduated from New York University with a Bachelor of Arts with a concentration in Business.

Kevin Schultz
Chairman

Kevin Schultz serves as the Chairman of the Board of Directors of Triad Securities Corporation. Since taking over from his father, the founder of Triad, in 2011, Kevin provides vision and overall direction for Triad, meeting regularly with Triad's division heads.

After running his own hedge fund for 17 years, which period includes two separate stints as a portfolio manager at Millennium Partners L.P., Kevin returned to Triad in 2008. Before starting his own hedge fund, Kevin began his career on the floor of the NYSE for Sarroff, Sager & Co and then ran the trading desk at Triad.

Kevin graduated with a Bachelor of Science from Northwestern University in 1988.

Read bio
Larry Goldsmith
President

Larry Goldsmith is the President of Triad Securities Corporation. Prior to becoming President in 2011, Larry served as Triad's Director of Operations. Larry has more than 30 years of experience in the securities industry, where he has focused on operations, custody, administration and customer service. Larry played a key role in developing the firm's Prime Broker Clearing operations and remains at the center of these operations.

Prior to joining Triad in 1994, Larry spent four years as a Vice President at Bankers Trust Company in its Global Advisor Services division, after beginning his career in 1985 at Thomson McKinnon Securities in its Money Management division.

Larry graduated from Hofstra University in 1985, where he earned a Bachelor of Business Administration in Finance.

Read bio
Kenneth Fisher
Chief Executive Officer

As CEO, Kenneth Fisher is responsible for Triad Securities Corp.'s vision and strategic direction. Ken's tenure is notable for his hands-on leadership style, grounded in over 15 years experience with Triad. Ken has also served as Director of Electronic Trading since joining Triad in 2005, administering all aspects of the Triad Trader Pro platform, including liaising with order management system representatives, arranging clearing firm coordination, and interfacing with IT staff.

Read bio
Nil Bhattacharya
Chief Technology Officer

Nil Bhattacharya joined Triad in 2002 and directs the technology team at Triad. His primary responsibility is the design, development, and deployment of information systems that implement Triad's business strategies. To this end, Nil maintains an expertise in established technologies, a keen interest in innovation, and a commitment to recognizing and fostering technical talent.

Prior to working at Triad, Nil was a member of a research group at the Psychiatric Institute (Columbia Presbyterian Medical Center), where he specialized in data analysis.

Nil graduated from Cornell University in 1995 with a Bachelor of Science.

Read bio
Sis DeMarco
Chief Compliance Officer

Sis DeMarco brings over 35 years of securities industry experience to her role as Director of Compliance, a position she has held at Triad since 2005. In this capacity she oversees regulatory compliance for Triad's sales practice, broker dealer operations, and trade execution business lines, as well as serving as liaison to all regulatory agencies. Prior to joining Triad in 1999, Sis was Compliance Officer and Sales Supervisor for a NYSE floor broker member firm, providing her with an extensive background in equity trade execution.

Sis's securities industry registrations include General Securities Principal and Representative, General Securities Sales Supervisor, Options Principal, Securities Trader and Operations Professional.

Read bio
John P. Hannigan Jr.
Head Sales Trader

John P. Hannigan, Jr. has over 30 years of experience in the securities industry. John joined Triad in 1993, where he has focused on equity trading and prime brokerage clearance in the U.S. and foreign markets.

Prior to working for Triad, John spent two years with Heritage Financial Group, a division of Mass Mutual Life.

John graduated from Providence College in 1989, where he earned a Bachelor of Science in Business with a concentration in Marketing.

Read bio
Sheri Rosen
Senior Administrator, Triad IPO Service

Sheri Rosen is the Senior Administrator for the Triad New Issue Service. She is responsible for the overall collection and collation of information on the upcoming IPO, secondary and convertible preferred offerings.

Relationships developed during her 24 years in the securities industry, along with extensive knowledge of historical new issues and filing procedures, afford her a singular expertise in this arena.

Sheri graduated from New York University with a Bachelor of Arts with a concentration in Business.

Read bio

founded with an ethos of corporate responsibility

The executive team, employees, clients, family, and friends all support our efforts to give back to the community.

Our signature gift is the Richard E. Schultz Scholarship Fund at Baruch College. Named after Triad’s founder, who is a Baruch alumnus, the scholarship is meant to provide full tuition to a junior majoring in Finance and Investments.

Honoring Schultz’s legacy, the scholarship reminds us of the larger-than-life personality who showed that good guys can win on Wall Street, while aiding students pursuing finance as a career.

Triad’s commitment to good reflects the firm’s founding principles and are an important part of who we are.

Triad also pitches in during times of crisis, most recently with the Triad Cares Trading Day on April 20th to Help with COVID-19 Relief Efforts. Trading commissions generated during the charity event went to NYC-area health and service-related charities. These include:

Over 40 Years of Industry Relationship

Triad Securities History

2020

Triad Securities sponsors Triad Cares Day to benefit Covid charities

April

Triad Securities Expands Capital introduction Services

June 24

2018

Triad Securities Launches Mobile App

2016

Triad Securities Celebrates 40th Anniversary

Triad adds clearing relationships with Wedbush and ICBC

Triad Securities Expands Prime Brokerage Team

June 6

2015

Triad Securities Announces the Expansion of Their Managed Suites for Hedge Funds 

December 14

Triad adds Lock Up Date information to IPO Site

November 19

Triad simplifies Sector Trader Tools, adds Upcoming IPOs and Secondaries

October 7

Triad Securities expands Institutional Sales

August 10

2014

Triad Healthcare Partners established  

2013

Triad Securities establishes clearing relationship with Fidelity Clearing & Custody  

2012

Triad Securities expands International Trading  

March 25

2011

Kevin Schultz begins to serve as Chairman  

September

2008

Triad and customers weather the financial banking crisis 

2002

Triad partners with Argus Research

2001

Triad establishes in-house technology team

1999

Triad Securities partners with REDI

1996

Triad Securities Celebrates 20th Anniversary

1994

Triad Securities establishes its London office

1993

Triad Securities launches Introduced Prime Brokerage

1988

Triad Securities moves into its present Wall St location

1986

Triad Securities launches IPO New Issue Service 

1976

Triad Securities Founded  

July