William G. Walters, Chairman
Mr. Walters has over 40 years experience raising money for small-cap public companies. He successfully completed over 140 transactions & raised over $2 billion as founder and CEO of Whale Securities. Some of his successful companies include: Cheyenne Software, Nationwide Cellular, Asta Funding, Take Two Interactive Software, Presstek, Parkervision, Universal Display, Delcath, e.Diets, Workstream, Turbochef, Traffix, Amarillo Biosciences, and Top Image Systems. Mr. Walters is a graduate of the Wharton School of Finance, University of Pennsylvania. Mr. Walters currently oversees the origination team at Commonwealth Associates and invests the firm’s capital in early stage companies.
Robert A. O’Sullivan, CEO & President
Mr. O’Sullivan is currently the Chief Executive Officer and President of Commonwealth Associates Investment Bank, and oversees all the activities of the firm. His responsibilities include raising capital for transactions and executing private placements for public companies. Since joining Commonwealth in 1992, he has focused on key client relationships and institutional co-investment, raising capital for ComVest Ventures, ComVest Opportunity Fund, ComVest Investment Partners II, and over 100 individual companies, as well as managing the assets of Commonwealth’s Partners. In addition he has actively participated on the boards of directors of a number of Commonwealth’s portfolio companies. Mr. O'Sullivan graduated with a bachelor's degree with honors from London University, attending King's College and the London School of Economics. He also maintains a series 7, 24, and 63.
Joseph J. Pallotta Jr., COO & CCO
Mr. Pallotta began his career at Commonwealth Associates, LP in 1998 and is currently the Chief Operating Officer and Chief Compliance Officer. His responsibilities include the day-to-day management of the company, as well as raising capital for private and public companies in the following sectors: Healthcare, Finance, & Information Technology. Mr. Pallotta focuses on client services and relationships, as well as managing the compliance functions for the broker/dealer. Prior to joining Commonwealth he worked in the Mutual Fund Department at GE Investments in Stamford, CT. Mr. Pallotta graduated from Wagner College receiving honors, with a degree in Business Administration with a Finance Concentration. He also maintains a series 7, 24, and 63.
Eduardo Sanchez, Senior Vice President
Eduardo Sanchez joined Commonwealth in 2007. His focus is on the principal investments of the firm, pursuing opportunities in bridge and mezzanine loans and other structured financing including convertible debt, asset backed-loans, and equity securities. His responsibilities include generating prospective opportunities for Commonwealth and its investors, overseeing the completion of a thorough and comprehensive due diligence process, and negotiating different aspects of the transaction. Prior to joining Commonwealth, Mr. Sanchez was an analyst at Hummingbird Value Funds, a long only deep value investment fund in New York, NY. Mr. Sanchez received his Business Administrative degree from Babson College and his MBA from Columbia Business School. He also maintains a series 7.
Thomas W. Downey, Controller & FINOP
Mr. Downey joined Commonwealth Associates, LP in 2008 and is currently the Financial Operations Principal and Controller. He has over 20 years Wall Street and financial operations experience. Prior to joining Commonwealth, he was the Financial and Operations Principal at Creditex Securities Corp. Other experience included positions with such companies as Hornblower Fischer & Co., Manufacturers Hanover Trust and National Futures Association. Mr. Downey graduated from Pace University in 1983 with a degree in Accounting. He also maintains the series 27.
Michele Golden, Senior Vice President
Ms. Golden joined Commonwealth in 2007. With more than twenty-five years of experience in business development, she is responsible for generating market opportunities for Commonwealth and its investors as well as securing capital for private and public companies. In addition, she focuses on developing client and institutional relationships and creating business strategies. Prior to joining Commonwealth, she was the Founder of Internet Commerce Corporation (was NASDAQ symbol: ICCA, now ESIC), where she created and built the first global Internet-based Value Added Network. Since then, Ms. Golden has been a consultant for various start-up and early stage companies. Ms. Golden received her B.A. from the University of Pennsylvania and is a graduate of the Harvard Business School's OPM Management Program and the Stanford Business School's program for Senior Managers of Growing Companies. She also has successfully passed the series 7 and 66.
Perry L. Green, Vice President
Perry Green is responsible for managing the relationships of investors and institutions, both domestically and abroad. This includes client development, family offices, private banks, and asset managers. His primary focus is on securing capital for alternative investments, private placement investments, and structured investments within the US and Europe. Mr. Green joined the Commonwealth team in 2006. Prior to joining Commonwealth, he spent three years in the telecommunications and global enterprise solution industry with companies including Bellsouth Large Business and Qwest Communication. During his career, Mr. Green gained extensive corporate client experience while working with Fortune 500 executives to both plan and implement global communication networks. Mr. Green holds a BA in Organizational Communication from the University of Central Florida and an MBA, with a focus in Finance, from the Crummer Graduate School of Business, Rollins College. He is also registered with FINRA, maintaining both a Series 7 and 66.
Stephen Bronfman Lande, Associate
Stephen Bronfman Lande joined Commonwealth in 2007. Prior to joining Commonwealth Associates, Mr. Lande worked as a summer analyst at Dresdner Kleinwort Wasserstein in its Technology, Media, and Telecommunications group as well as being a summer analyst at RSM Richter, a Canadian accounting, business advisory and consulting firm; working in their corporate advisory and forensic auditing groups. In 2007, he received a B.S. in Economics cum laude from The Wharton School of the University of Pennsylvania, with a concentration in Finance.
Paul Hlavaty, Associate
Mr. Hlavaty joined Commonwealth Associates in 2007. Prior to joining Commonwealth, he spent two years in corporate finance for a global entertainment company, SONY BMG. Mr. Hlavaty holds a B.A. in Economics from Columbia University. Mr. Hlavaty also worked as a summer analyst at Morgan Stanley in the Equity Financial Service Group. He is also registered with FINRA, maintaining both a Series 7 and 66.
