Since our founding in 1964, we have attracted many of the industry’s experienced professionals. Our client administration group provides thoughtful solutions and prompt response to our customers. Our experts ask the right questions to design and flawlessly execute customized solutions their shareholders require.
Our Account Manager professionals have an average of 29 years of experience in the industry and every client has a dedicated relationship team. We never rest on our reputation for excellence – we actively build and enhance it.
Vice President and Director of Client Administration
Maggie is the point of contact for the Administration group, ensuring that client needs are met in a timely and professional fashion. With over 30 years of experience in relationship management positions in the securities field – experienced in compliance and securities regulatory issues with a commitment to client education. Her stock transfer experience focuses on client relationships of emerging growth to large public companies.
Prior to assuming her role at Continental Stock Transfer & Trust, she held several management positions at other financial firms.
Maggie has sat on the Board of the Mid Atlantic Securities chapter, has been a member of several industry organizations, and has authored many industry articles.
Stacy started at Continental in 2000, working in the Compliance Dept. Her experience and knowledge in the compliance/regulatory field is an asset in coordinating legal requirements for certain corporate events. She joined the Account Admin group in 2013.
Stacy stays close to her clients and ensures that their needs are met on a one-to-one basis no matter what time. She has established many customer relationships through her years at Continental.
Stacy is originally from Trinidad/Tobago and currently resides in Brooklyn, NY. She travels to Trinidad every year to participate in the annual Carnival celebration that connects her to her culture and heritage. Stacy spends her free time reading and enjoys the beach.
Keri has over 25 years of experience in the Securities Industry. She has extensive experience interpreting documents for NYSE and SEC compliance for proxy solicitation, shareholder voting rights, corporate governance and various corporate actions.
Prior to joining Continental, Keri worked at Broadridge Financial Solutions as a Relationship Manager on the Transfer Agent team as well as in Corporate Client Services advising issuers on shareholder meeting, proxy and voting requirements.
She is skilled in bankruptcy and restructuring noticing, transactions, tabulating, and disbursements. Throughout her career, Keri has provided expert guidance to C-suite company executives and counsel to ensure accurate analysis of solicitation, discretionary voting and corporate governance regulations and compliance. Keri gained most of her knowledge of the industry working at the NYSE in various roles.
She enjoys spending her free time at the beach, practices TM, and is a Reiki I and II level healer.
Henry serves as Assistant Manager of Client Administration and SPAC account management. He is also a lead manager of SPAC’s in the administration team.
Henry has been in the Transfer Agency business for over 22 years, employed both in the private and public sectors of the business.
His tenure has allowed him to work with large shareholder base clients, specializing in community bank appointments, assisting in corporate governance, due diligence, planning and preparation of all aspects of their shareholder meetings, mergers, acquisitions, IPO’s, stock split and dividends.
Mike has more than 25 years of experience as a leader in securities and related industries. Throughout his career, Mike has served as a trusted advisor to executive management teams across industries, sectors and regions.
Over the course of his career, Mike has counseled executive management teams on a variety of issues including best practices, streamlining workflows and addressing proper corporate governance, allowing issuers to remain focused on their business.
Mike provided guidance and best in class solutions for CEOs, CFOs Investor Relations professionals as well as General Counsel and Corporate Secretaries communities; providing solutions addressing issues throughout the corporate lifecycle, including pre-IPO planning, ongoing shareholder servicing, shareholder meeting planning, M&A, bankruptcy and exchange listing/de-listing.
Prior to joining Continental, Mike worked at Financial Profiles, an independent Investor Relations firm, helping newly public issuers navigate Wall Street and manage expectations to ensure issuers received the visibility and best valuations possible. While at Broadridge Financial Mike helped issuers uncover and eliminate redundancies and inefficiencies in their shareholder communication/recordkeeping/ processing programs – allowing issuers to better communicate and engage with all stakeholders. Prior to that Mike worked at Nasdaq, managing issuer relations and satisfaction in southern California, promoting Nasdaq solutions and services in addition to managing promotional opening/closing bell ceremonies. Mike also held senior sales positions at Bank of New York, Mellon, Computershare and Harris Trust.
Mike is active in the organizations that shape the investor relations and corporate governance roles within public issuers. Mike is a longstanding member of National Investor Relations Institute (NIRI) and a past board member of the San Diego and Los Angeles chapters. He is a twenty-five-year member of the Society of Corporate Governance and a past board member of the Western Securities Transfer Association.
Ana Gois has been in the Transfer Agent business for over 16 years and has held various key positions throughout her career servicing small, mid, and large-cap clients. At Continental, she is a Senior Account Administrator and Vice President. Ana brings a depth of experience in shareholder relations, client services administration, and relationship management.
In her tenure, Ana has worked with large shareholder base clients assisting in corporate governance, due diligence, planning, and preparation of all aspects of their shareholder meetings, mergers, acquisitions, IPO’s, stock split and dividends. She has also held senior positions as an Assistant Vice President and Team Leader at two other major Stock Transfer Agencies.
Ana is graduate of Montclair State University. She is a highly motivated professional who values her clients and their long term business relationship needs.
Text to come.
Stephen comes to Continental Stock Transfer with more that 30 years of experience in the industry, with the last 25 years in Relationship Management.
He has previously held the position of Vice President and Senior Relationship Manager in his past experience at multiple transfer agencies.
Stephen’s strengths are in helping clients with complex matters and he has extensive knowledge and experience in annual meeting planning, Corporate Actions including stock splits and dividends, IPOs and mergers, and advising foreign clients.
Isaac’s expertise is corporate governance compliance, corporate action events, foreign stock events, fund administration, and SPACs. He has worked within the industry for 34 years and has over 10 years’ experience working on the brokerage side of the business.
Isaac has been a speaker at ADR conferences and traveled abroad in this capacity. He is a graduate of Stony Brook/SUNY.
Jim shares approximately 40 years of experience in the shareholder services /stock transfer industry. During the first half of his career, he was employed at two corporate issuers that acted as their own transfer agents, including dividend reinvestment and employee plan administration.
He managed all facets of the transfer operation, shareholder communications, proxy services, and regulatory compliance. He then moved to the commercial stock transfer world where he managed a number of key client relationships while at The Bank of New York, BNY Mellon and Computershare before joining Continental Stock Transfer & Trust.
Jim spent many years as an active participant of the Shareholder Services Association (SSA) and served on the board for approximately 10 years. He was also a member of the Stock Transfer Association (STA) and the National Investor Relations Institute (NIRI).
Margaret “Bernie” Lloyd
Bernie has been in the Transfer Agency business for over 30 years, employed both in the private and public sectors of the business. Thirteen of those years were with a large in-house public company, supervising shareholder services, stock transfers and ensuring adherence to the company’s Corporate Governance and industry regulations.
Bernie is a senior Relationship manager/VP at Continental and has worked for two other major stock transfer agencies in the same capacity.
Her tenure has allowed her to accrue a wealth of knowledge in the security industry, corporate administration and banking/securities environment. Bernie’s expertise is handling large shareholder clients and keeping clients informed in best practice methods for both the corporate and shareholder side.
Text to come.
Luis is an accomplished securities services professional with over 35 years of experience in the Stock Transfer Industry with an extensive background in client relationship management, reorg administration, product management and operations.
Prior to joining Continental Stock Transfer & Trust, Luis held management positions throughout his career at The Bank of New York Company, BNY Mellon Shareowner Services and Computershare Shareowner Services.
During his tenure at these companies, he was a Vice President and Senior Relationship Manager for several large corporate issuer accounts which included the parent company’s stock transfer account and employee plans.
During this same period Luis was also a Regional Vice President and Team Leader for several teams of relationship managers that specialized in Closed End Funds and International Transfer Agency Services.
His success in all areas of expertise is attributed to strong management and interpersonal skills with an emphasis on teamwork, business growth and striving for excellence.
Kruti started her career with the The Bank of NY Mellon back in April 2007 within their Corporate Trust (CT) division. She spent 11 years with the company working for several different groups within CT such as Tender Option Bonds, Mortgage-Backed and Asset-Backed Securities, Resecuritizations, and Global Structured. During her tenure at The Bank of NY Mellon, she got her first experience as a manager by being promoted to Section Manager of Client Service Delivery within Corporate Trust.
In her capacity as Section Manager she served as the front-line manager for a team of five Trust Associates/Senior Trust Associates overseeing their day-to-day job functions, establishing and evaluating performance and career goals for the team, mentoring and coaching the associates as well as providing professional guidance and training on short-term and long-term goals.
Her success as a manager and leader in this role led to her promotion to the next level of management as Team Lead/VP. In this role she managed a team of 17 Trust Associates/Senior Trust Associates in addition to four Section Managers located in the New York and New Jersey offices. In January 2019 Kruti joined Broadridge Financial Solutions as a relationship manager within their Transfer Agency group. At Broadridge Kruti managed a portfolio of accounts comprised of clientele across various industries such as Pharmaceuticals, local Retail Banks, a Start-up Tech Company, Small Business Lending and Solutions providers, Product Solutions for Healthcare Professionals providers, and a Business Development Company (BDC).
She earned multiple ACE Awards from various colleagues as recognition for her demonstration of the company’s values as well as her efforts of going above and beyond the daily expectations by management. In 2020 in the midst of the COVID-19 health crisis, she received several compensation awards for cross-selling the company’s Virtual Shareholder Meeting (VSM) platform to her clients during the annual shareholder meeting/proxy campaign season. At a time when no large indoor public gatherings and social distancing were mandated, she worked with her clients on switching to the VSM platform which ensured their annual meeting proxy campaign stayed on schedule while complying with local state and federal laws. Kruti joined Continental Stock in July 2020.
Doug Reed has nearly 35 years of experience in the Transfer Agent industry. Over the course of his career, he has performed both operational and administrative roles, including Chief of Operations, Regulatory Compliance, Issuer and Securityholder Tax Reporting, Issuing Agent, Reconciliation, and Vendor Management.
Doug is familiar with various types of securities, including common, preferred, and convertible stocks, corporate and municipal debt, money market instruments, and depositary receipts. Prior to his position at Continental Stock Transfer, Doug spent time at Morgan Guaranty Trust Company, the Bank of New York, Citibank, and Broadridge Corporate Issuer Solutions. Doug has been active in Industry groups, such as the Securities Transfer Association (STA) where he acted as chairman of both the Operations and Debt committees.
He holds a BA in Business Administration from William Paterson University and an MBA in Finance, with a concentration in Banking, from the Lubin School of Business at Pace University.
Leicia has over 25 years of experience in the shareholder services industry. She started her career at Chase Mellon Shareholder Services in the call center managing the Bellsouth account and eventually moved over to manage the Bellsouth Correspondence Unit.
After Chase Mellon Shareholder Services, Leicia went to work for ADP which is now Broadridge Financial Services. She spent 14 years there working with large corporate issuers such as General Electric, Microsoft, Time Warner and Pfizer.
Over the course of her career, she was invited to speak at industry functions, explaining the benefits of electronic proxy delivery and voting. Most recently, Leicia spent 9 years at American Stock Transfer and Trust as a Vice President of Relationship Management, until she moved to Continental. She earned a Bachelors Degree in Communications at SUNY Plattsburgh and her MBA from Dowling College.
Steve’s expertise is coordinating and managing complicated deals with uncommon structuring.
He is also the point person for all cross-border issuers wishing to list in the United States, and manages the co-agent book of business for Continental’s partnership with TSX Trust.
Steve has been with Continental for 18 years and has worked in many departments, accruing a wealth of knowledge as he worked himself up the ladder. In his current role, he brings with him that wealth of knowledge to provide clients with the guidance needed to facilitate their needs, confidently and quickly.
Erika’s expertise is in Relationship Management, specializing in Problem Resolution and Retirement Services, having worked with two of the top banking financial centers in the industry, JP Morgan Chase and Citigroup.
Erika has a strong base in sales, having over 20 years of experience in the financial industry targeting, developing and implementing effective growth strategies that deliver strong and sustainable results.
Successful in achieving market revenue and sales profitability through expertise in cultivating and enhancing client relationships, marketing creativity and ingenuity, business development, and client management.
Erika has sat on the Bronx District Attorney’s Community Affairs Unit Adult Workshop Board for her expertise in financial security, J.P.Morgan Chase’s Diversity Council and their Connecticut Market Leadership Team, and served as a Finance Mentor/Facilitator with Dress For Success Professional Women’s Group.
She is a graduate of Fordham University.
Tinka joined Continental Stock Transfer & Trust in June 2019 as the Administrative Assistant/ Client Administration. She is responsible for streamlining workflow between the Client Administration team, Director of Account Administration, and other departments. Besides performing traditional administrative duties and assisting the Client Administrators as needed, Tinka also helps to maintain the company’s internal client database.
Prior to coming to Continental Stock, Tinka led a sales-driven retail career as a Professional Personal Shopper for many years. A style connoisseur, with an acute focus on customer satisfaction, she built a loyal client base including international, high-end, and business clientele, later expanding into bulk and corporate sales. Although she is new to the transfer agent industry, her organizational skills, adaptability, extensive client service experience, and eagerness to learn made her suitable for the department.