“I’ve missed more than 9,000 shots in my career. I’ve lost almost 300 games. 26 times, I’ve been trusted to take the game-winning shot and missed. I’ve failed over and over and over again in my life. And that is why I succeed.”
— Michael Jordan

“All the best things that happened to me happened after I was rejected. I knew the power of getting past no.”
— Barbara Corcoran

“I have not failed. I’ve just found 10,000 ways that won’t work.”
― Thomas A. Edison

“When you have exhausted all possibilities, remember this – you haven’t.”
― Thomas A. Edison

“It is not the critic who counts; not the man who points out how the strong man stumbles, or where the doer of deeds could have done them better. The credit belongs to the man who is actually in the arena, whose face is marred by dust and sweat and blood; who strives valiantly; who errs, who comes short again and again, because there is no effort without error and shortcoming; but who does actually strive to do the deeds; who knows great enthusiasms, the great devotions; who spends himself in a worthy cause; who at the best knows in the end the triumph of high achievement, and who at the worst, if he fails, at least fails while daring greatly, so that his place shall never be with those cold and timid souls who neither know victory nor defeat.”
— President Theodore Roosevelt

Background:

Although I have done many things in my life, my greatest success always came through my native skills as a speaker, programmer, marketer, investor, leader and business problem solver.   I am not sure how it happened that I ended up first joining a national forensics team at Eastern Michigan University and then later studying marketing at the University of Kentucky, but that was the path I found myself on in my 20s.  Prior to University, I attended Culver Military Academy, where in 1978, I learned to program in Basic on an HP3000 mainframe – a skill I still possess decades later.   I have pursued many different ventures, but without a doubt, it was my skills in understanding people, ideas, logic, and marketing every time that saved the day for me.  I spent the bulk of my career in the financial world and thankfully, I developed many skills there too including abilities in fintech,  management,  strategy, deal making, investing, finance and regulation.    Like any good marketing man, I can also sell, but I sell best, when I believe in what I sell, understand the seller/buyer dynamic and understand the human element needed to complete the sale; and really, this is mostly a talent that can be learned by anyone.   Now many top salesmen will say, well that’s what good selling is all about.   And they would be correct because sales is a subset of the marketing process and always has been.   However, what I really enjoy involves all the marketing processes which includes a lot more than just interacting with a customer, it includes all the support aspects like strategy, branding, merchandising, advertising, product design, leadership (of people and teams), thinking, problem-solving and the subtle things that get buyers to act impulsively or irresistible desire a product or service.   The other 50% of my business successes were built by understanding dynamics of both the business and human elements involved.

Career Accomplishments:
  • Larned to program in 1974 on an HP3000, became a HAM radio operator at the same time and hold a General Class License W1YOU
  • Got accepted into the University of Chicago graduate school of business (Booth) after being rejected (exactly three months after the rejection letter)
  • In my 20s wrote an option pricing program well before that technology was commercially available and sold it to several major securities firms trading desks (Cargill, Lehman & Drexel).
  • Built two successful commodity operations, one in Paris and a second in Tokyo, both that went from zero to millions in less than two years.
  • In 2001, started a FINRA broker-dealer from scratch and in 18 months took three small hedge funds (the largest was $13M and the smallest was $5M) to $200M-$700M each despite having no database of customers and never having raised any sums professionally in my career.
  • In May 2009, during the heat of the financial crisis (just after the Lehman and GM bankruptcies, in the toughest fundraising environment in decades both negotiated the purchase of the Madoff market making assets from the Madoff Trustee/SPIC and with an investor, an investment of a $10M investment to fund the acquisition of the assets through my existing broker-dealer Castor Pollux Securities, LLC:
    • Hired first clearing broker including negotiating all fees
    • Identified/sold first customer
    • Managed team of 40 traders and admin staff to rehire into relaunched business
    • Restructured the IT team and launched relaunched the market making system which
      • included best in class circuit breakers to prevent “flash crashes” or fat finger trades before they had occurred
      • safely relaunched the entire system without the original system architect
      • identified weakness in the code and suggest new markets (which were never pursued by management)
  • In April 2012, launched DarinOliver.Com to share with people my experience, knowledge, and skills.
Interests:
  • Public Speaking
  • Economic History
  • Financial Markets, trading and Investing
  • Design
  • Marketing
  • Regulation
Business Skills:
  • Financial Analysis
  • Business Strategy
  • Deal Making
  • Contract and Negotiating skills
  • Leadership
  • Building Effective Teams
  • Regulatory compliance
  • Marketing
  • Promoting and branding
  • Networking
  • Entrepreneurial Management
Industry Experience:
  • Securities
    • Private Placements of Securities
    • Investment Banking
    • Asset Managment
    • Derivative Securities
    • Equity Analysis (with emphasis on value and finance)
    • High Net-Worth/Family Office Management
    • Global Securities Regulation
  • Real Estate
    • Real Estate Development Commercial and Residential
  • Online Gambling
    • Analysis
    • Business Strategy & Implementation
    • Knowledge of business models
    • Marketing
    • High-level business development
    • Offshore regulations
Former Employers:
  • Securities/Commodities
    • Staley Commodities (Chicago), Runner & Floor Clerk
    • Drexel Burnham Lambert (Chicago), Floor Clerk
    • Member Chicago Mercantile Exchange (IOM Seat), Independent Trader
    • Rodmen & Renshaw (Chicago CME), Floor Trader
    • Societe Generale (FIMAT Paris, Tokyo), Head of TIFFE Team, Tokyo
    • Bear Stearns (Tokyo), Head of ETD Trading, Tokyo
    • UBS Securities (Tokyo) Director
    • Nutmeg Securities (CT, USA)
    • Castor Pollux Securities, LLC and Surge Trading Corp (Boston & NYC) President, CCO & CEO
  • Real Estate
    • Real Estate Development Commercial and Residential  (Detroit)
  • Online Gambling (Alderney Gambling  & Control Commission) Deputy Director of Licensing, Alderney, Channel Islands, UK
    • Analysis (reviewed over 100 gambling businesses)
    • Knowledge of business models
    • marketing
    • High-level business development
    • Offshore regulations

May 2014

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