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Mills Rooks
Dynamic financial and systems trading professional and accomplished project development leader with more than 25 years experience in securities and securities related industries, as well as a diverse business project development history.
1. Currently registered as a CTA/CPO and RIA firm principal, applicant holds or has held Series 3, Series 4, Series 7, Series 8, Series 24, Series 55, Series 63 and Series 65 registration qualifications, with a spotless regulatory record (CRD # provided upon request); importance of regulatory compliance recognized and understood.
2. Experienced in trading operations for stocks, ETF’s, options, forex and futures; has directed the efforts of diverse traders, managing the sometimes difficult personality types associated with that personality type; first-hand trader management experience through the development and ownership of a proprietary trading firm. Experienced with certain computer generated algorithmic trading systems and risk management related to this type of trading.
3. Principal of Lowcountry Capital Management, LLC, an RIA/CTA/CPO firm formed to manage in-house hedge funds utilizing a proprietary trading (“quant”) system jointly developed by this applicant.
4. Have contributed formative efforts to diverse business interests such as bank formations (2), an international shipping company, a major aquaculture project (shrimp), and a behavioral health hospital for children and adolescents.
5. Produced as a retail broker in stocks and futures for major securities firms, achieving production awards and official appointments. Also, served as a futures technical analyst for a large regional brokerage firm.
6. Has a “market Ph. D” in trading for over two decades. Understands risk management pitfalls and trader/client danger signals.
Securities and Futures Trading Operations * Business Project Development * Investment Planning * Financial Services Marketing * Client Management * Securities Technical Analyst * Strategic Planning * Risk Management * Financial Pro Forma Development * Financial Product Sales * Trader Team Management
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