OUR MANAGEMENT TEAM
Andrew Silverman – President and CEO
Mr. Silverman graduated from Hofstra University in 1983 and founded Prime Executions in 1986. He grew the firm from one seat on the New York Stock Exchange and 2 employees to 5 full time brokers and 30 employees. He has served on the NYSE Error Resolution Subcommittee and is a former NYSE Floor Official.
Registrations: Series 7, 24, 55 & 63
Daniel Tandy – Senior Managing Director
Mr. Tandy is Senior Managing Director and a member of the Executive Committee, currently serving as an NYSE Senior Executive Governor. Mr. Tandy began his career as a Financial Advisor at Merrill Lynch in 1977 and was on staff of the New York Stock Exchange from 1979-1987. In 1987 he became a NYSE Member and worked as an independent Floor Broker before joining Prime Executions in 2002 as a partner.
Mr. Tandy has served as a Governor of the NYSE from 1996 to 2002. He is a past President of the Alliance of Floor Brokers. He has also served on several NYSE committees, including Market Performance Committee, Intra-Day Trading Practices Committee, Subcommittee on Openings, Indications and Trading Halt Procedures, Subcommittee on Decimalization, Chairman of the Allocation Panel and Co-Chairman of the Error Resolution Subcommittee. He is a former Director of STANY and serves as a member of the board of the NYSE Foundation.
Registrations: Series 7, 12 & 63
Duane T. Penfold – Chief Operating Officer
As Prime Executions Chief Operating Officer, Mr. Penfold is responsible for the administration and oversight of the firm’s Institutional Trading, Compliance, Technology and Back Office Operations. Mr. Penfold joined Prime Executions in 2003 after eight years as a Surface Warfare Officer in the United States Navy. He remains active in the Navy Reserves and just recently returned to the firm after taking a military leave of absence in support of a one year recall to active service. He holds a Bachelor of Science degree in Marine Engineering from the U.S. Merchant Marine Academy, and earned his Masters of Business Administration from the University of West Florida.
Registrations: Series 7, 24, 25, 55, 63 & 99.
Wayne Caron – Chief Compliance Officer
As Prime Executions Chief Compliance Officer, Mr. Caron is responsible for daily oversight and management of all of the firm’s compliance programs, ensuring that Prime Executions Inc. and its employees are fully compliant with all regulatory requirements as well as internal policies and procedures. Mr. Caron joined Prime Executions in 1995, and possesses an extensive knowledge in trading equities, options and fixed income securities.
Registrations: series 4, 7, 12, 14, 25, 55, 63, & 99
Prime Executions is proud to support the following organization:
DeGregorio Family Foundation for Gastric and Esophageal Cancer Research & Education (DFF) seeks to promote and facilitate education and collaborative research on the pathogenesis, early diagnostic, and treatment of Upper Gastrointestinal Malignancies.
The Wounded Warrior Project provides programs and services to severely injured service members during the time between active duty and transition to civilian life.
Autism Speaks is an autism advocacy organization in the United States that sponsors autism research and conducts awareness and outreach activities aimed at families, governments, and the public.
Members Handicapped Children's Fund dedicated to handicaped children and institutions that serve their needs:
Member New York Stock Exchange, FINRA, & SIPC
Prime Executions, Inc – 40 Wall Street, Suite 1704, New York, NY 10005 – TEL: (212) 785-0200 – FAX: (646) 390-3100