SENIOR ACCOUNT MANAGEMENT
Since our founding in 1964, we have attracted the industry’s most experienced professionals. Our Account Management & 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 Management 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 Account Management & 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 joined Continental in 2000, working in the Compliance Department. Her experience and knowledge are assets in coordinating legal requirements for certain corporate events. In the Account Management group, Stacy stays close to her clients and meets their needs one-to-one, no matter the time. As a result, she has established many valuable customer relationships through her years at Continental.
Stacy is originally from Trinidad/Tobago and currently resides in Brooklyn, NY. Every year, she travels to Trinidad to participate in Carnival and celebrates her family, heritage, and culture.
Keri has over 25 years of experience in the securities industry. She has extensive background interpreting documents for New York Stock Exchange and Security and Exchange Commission compliance for proxy solicitation, shareholder voting rights, corporate governance, and numerous corporate actions.
Prior to joining Continental, Keri worked as a Relationship Manager on the transfer agent team and in corporate client services advising issuers on shareholder meetings, 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 company executives and counsel to ensure accurate analysis of solicitation, discretionary voting, and corporate governance regulations and compliance.
Henry is a Senior Account Manager, and also serves as a lead manager for Special Purpose Acquisition Companies (SPACs) in the Account Management team.
Henry has been in the transfer agency business for more than 22 years, employed in the private and public sectors.
His experience 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 as a leader in securities and related industries. He has been a trusted advisor to executive management teams across industries, sectors, and regions throughout his career. Over his career, Mike has counseled executive management teams on various issues, including best practices, streamlining workflows, and addressing proper corporate governance, allowing issuers to remain focused on their business.
Mike’s best-in-class solutions for CEOs, CFOs, investor relations professionals, general counsel, and corporate secretaries address issues throughout the corporate lifecycle. He is a master at pre-IPO planning, ongoing shareholder servicing, shareholder meeting planning, mergers and acquisitions, bankruptcy, and exchange listing and de-listing.
Before joining Continental, Mike worked at an investor relations firm, helping newly public issuers navigate Wall Street and manage expectations to ensure issuers received the visibility and best valuations possible.
Mike is active in the organizations that shape the investor relations and corporate governance roles within public issuers. Mike is a longstanding member of the National Investor Relations Institute (NIRI) and a past board member of the San Diego and Los Angeles chapters. He is a 25-year member of the Society of Corporate Governance and a past board member of the Western Securities Transfer Association.
Ana has been in the transfer agent business for more than 20 years and has held various key positions throughout her career serving small, mid, and large-cap clients. Ana was an Assistant Vice President and team leader in prior roles at stock transfer agencies, and she is currently a Senior Account Manager and Vice President at Continental. 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.
Ana is a graduate of Montclair State University. She is a highly motivated professional who values her clients and their long-term business relationship needs.
Erika has worked in the stock transfer business for over a decade. She has worked in relationship management for the past eight years building relationships with key executives and accounts. During her career, Erika assisted with operational mailings and coordinated special reorganization jobs. She guides departments through streamlining practices and handles annual meeting set-ups, virtual meetings, and accounting initiatives.
In addition, Erika has attended various conferences in the securities industry and has also held the role of inspector of election at various annual meetings for her clients.
Erika brings her enthusiasm and her excellent communication skills to assist in building and maintaining new relationships.
Michael has been in the securities industry for over 30 years. Prior to Continental, Michael worked at DTCC, broker/dealers First Clearing Corporation and Morgan Stanley. He also worked at American Stock Transfer earlier in his career, where he was appointed as an administrator to handle monumental job tasks concerning a North American claims settlement against three major airline carriers. He has reviewed all forms of legal documents to ensure accuracy, compliance and negotiability.
Michael always seeks to enhance operating efficiencies and delivers excellent customer service to ensure superior client satisfaction. He is eager to expand his knowledge at Continental and embraces team work. In Michael’s free time, he enjoys volunteering for Habitat for Humanity, caring for the elderly in his neighborhood, working at soup kitchens, and visiting the Veterans hospital to provide friendship and support and listen to their storied pasts. Michael attended Adelphi University, studying Business Management and Communications.
Stephen comes to Continental Stock Transfer with more than 30 years of experience in the industry, the past 25 years in Relationship Management.
He previously served as Vice President and Senior Relationship Manager at multiple transfer agencies.
Stephen’s strength is helping clients with complex matters. He has extensive knowledge and experience in annual meeting planning, Corporate Actions including stock splits and dividends, IPOs and mergers, and advising foreign clients.
Margaret “Bernie” Lloyd
Bernie has been in the transfer agency business for over 30 years, employed in the private and public sectors. Thirteen of those years were with a prominent 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 Account Manager/VP at Continental and works in the same capacity.
She has accrued 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.
Ian McKay is a hardworking and dedicated business professional with over a decade of experience in customer & client relationship management and operational project management experience. Ian has a strong portfolio of success managing accounts and maintaining partnerships while delivering business-critical projects and driving strategic sales.
Ian has a proven track record of identifying and leveraging opportunities to create positive results and is Lean Six Sigma Certified. This certification ensures high-quality vital data research, analysis, process development, and implementation skills, which aid executive-level professionals and the organization.
Luis is an accomplished securities services professional with over 35 years of experience in the stock transfer industry. He has an extensive background in client relationship management, reorg administration, product management, and operations.
Before joining Continental Stock Transfer & Trust, Luis held management positions at several financial institutions.
During his tenure there, he was a vice president and senior relationship manager for several large corporate issuer accounts, including the parent company’s stock transfer account and employee plans. He was a Regional Vice President and team leader for several relationship management teams specialized in closed-end funds and international transfer agency services.
His strong management and interpersonal skills gave him success in all areas of expertise, emphasizing teamwork, business growth, and striving for excellence.
Kruti started her career with 11 years at a large financial institution in its trust division. Her experience there included tender option bonds, mortgage-backed and asset-backed securities, resecuritizations, and global structures.
Her success as a manager and leader led to her promotion as Team Lead/VP. Kruti next joined a financial solutions company as a trust agency relationship manager. She gained experience in various industries such as pharmaceuticals, local retail banks, a start-up tech company, small business lending and solutions providers, product solutions for healthcare providers, and a business development company (BDC).
She’s earned multiple ACE Awards from her colleagues, recognizing her commitment to company values and her efforts to go above and beyond management expectations. In 2020, amid 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. When no large indoor public gatherings were allowed, and social distancing was mandated, she worked with her clients to adopt the VSM platform. Her action ensured their annual meeting proxy campaigns stayed on schedule while complying with local, state, and federal laws. Kruti joined Continental Stock in July 2020
Over Doug’s 35-year career in stock transfer, he has performed operational and administrative roles, including chief of operations, regulatory compliance, issuer, security holder 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 & Trust, Doug spent time at multiple bank and trust corporations. He has been active in industry groups, such as the Securities Transfer Association (STA), where he acted as Chairman of the Operations and Debt Committees.
He holds an MBA in Finance, with a concentration in Banking, from the Lubin School of Business at Pace University.
With more than 25 years of experience in the shareholder services industry, Leicia started managing a shareholder call center and the correspondence unit at a previous transfer agent.
She spent 14 years at a financial solutions company, working with large corporate issuers such as General Electric, Microsoft, Time Warner, and Pfizer.
Leicia worked 9 years at another transfer agency as a Vice President and over the course of her career, she was invited to speak at industry functions explaining the benefits of electronic proxy delivery and voting. She earned an MBA from Dowling College.
Steve’s expertise in 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 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.
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 solid and sustainable results.
She successfully achieved market revenue and sales profitability through expertise in cultivating and enhancing client relationships, marketing creativity and ingenuity, business development, and client management.
Erika served 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. She 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 of Account Management & Administration. She is responsible for streamlining workflow between the Account Management team, Director of Account Administration, and other departments. Besides performing traditional administrative duties and assisting the Account Managers as needed, Tinka also helps to maintain the company’s internal client database.
Before joining Continental Stock, Tinka led a sales-driven retail career as a professional personal shopper. A style authority with a keen focus on customer satisfaction, she built a loyal client base including international, high-end, and business clientele, later expanding into bulk and corporate sales. New to this industry, Tinka is organized, adaptable, has extensive client service experience, and her desire to learn makes her a valued addition to the department.