OUR SENIOR MANAGEMENT TEAM
Founded in 1964, Continental Stock Transfer & Trust is the largest privately-owned US transfer agent. As proud as we are of our history, we are even more proud that we satisfy our customers repeatedly, no matter how challenging their needs may be. We are still growing, and our focus on our specific clientele niche has been unwavering since our founding.
Our professionals are seasoned and respond swiftly to execute flawlessly on our suite of services. Our top-level managers have an average of 32 years of experience in the transfer agent industry and are available to assist our issuer contacts 24 hours a day, seven days a week.
President and Chairman
With more than 35 years of industry experience, Steven is heavily involved in Continental’s day-to-day administration and client initiatives. An attorney with a background in public and private practice, he is a member of the New York state and Federal bars. He has practiced at Simpson Thacher & Bartlett and as a Federal prosecutor.
Steven is a member of the Executive Committee of the Securities Transfer Association Board and chairs its Legal Committee, which is active in promoting essential changes within the industry. A magna cum laude graduate of Brandeis University, he received Law Review honors from NYU Law School.
Michael Mullings, MS
Chief Compliance Officer & Corporate Secretary
Michael has been with Continental for over 30 years and deals primarily with the clients’ executive officers and directors and their securities counsel. He interprets SEC rules to guide clients and is committed to finding solutions to complex problems.
Michael also serves as a Senior Relationship Manager for some of Continental’s most sensitive accounts. He is responsible for all aspects of:
- legally restricted transfers,
- original issuances stemming from initial, secondary, and follow-on public offerings,
- private placements,
- warrant exercises, and
- employee benefit plans.
He is also responsible for reviewing all legal agreements in which Continental is a party. Michael oversees and manages the implementation of procedures to ensure that Continental complies with all regulatory requirements.
He is a member of the Securities Transfer Association and the Shareholder Services Association.
Chief Operating Officer
John is a well-respected industry leader with more than 30 years of experience and has a wide range of industry knowledge. He is well versed in stock transfer and joined Continental in 2013 to assume responsibilities for Specialized Services, including dividends, abandoned property reporting, account maintenance, check reconciliation, IRS tax reporting, research, and dividend reinvestment.
John’s experience working for some of the most significant transfer agents in the world has allowed him to accumulate a broad range of managerial, organizational, and administrative skills. John also has a vast knowledge of all operational and regulatory issues handled by transfer agents.
John is a former chair of the Securities Transfer Association’s Operations Committee and has participated in several industry-wide boards.
Vice President of Shareholder Plan Services
Howard is responsible for managing Dividend Reinvestment Plans, Direct Stock Purchase Plans, and Employee Stock Purchase Plans, as well as managing Mail Operations at Continental.
Howard began his career in stock transfer services in 1997, giving him 25 years of experience in the industry. He first worked with a large financial institution, where he quickly worked his way up to various managerial positions within the organization. In his time with the company, he worked on initiatives focusing on automations, risk reduction, and cost savings, as well as depositary receipts, corporate trust, and reorganization.
Howard earned his MBA from Hofstra University in 2006 and joined Continental in March 2021.
Vice President and Manager of File Integrity Security Operations
Nick joined Continental Stock Transfer & Trust Company in 2015 and is responsible for managing Dividend Processing, Client Report Processing, Tax Reporting, Account Maintenance, TranStar Template Management, and TS Partners Liaison. Nick is also a member of Continental’s Conversion Team and Cyber Security Team.
Nick has over 25 years of industry experience and is a member of the Securities Transfer Association (“STA”) and the Shareholder Services Association (“SSA”). Nick is an active participant of the STA Operations Committee and has participated on various other STA committees including the Direct Registration Guidelines Committee, Cost Basis Committee, and Conversions Guidelines Committee. In addition, Nick is also a member of DTCC’s Joint Industry Working Group and has been a member of the Corporate Actions Committee and Paperless Legals Committee. Nick is a graduate of Rutgers University.
Donald F. Gress
Vice President and Chief Information Security Officer
Don monitors Continental’s cyber security policy execution, and all Internet-related procedures. Don chairs our Cyber Security Management & Strategic Planning Committee and creates or organizes online courses for employee training. He is responsible for employee’s proper handling of email, internet decorum, and safeguarding information in our shareholder recordkeeping system.
The US Army drafted Don during the Vietnam Era before he completed his degree from Rutgers University. After his discharge in 1967, he joined Continental as a trainee and messenger. Over the ensuing decades, he accumulated detailed knowledge of operational and regulatory issues. Don also learned all transfer agent functions, audit, and risk-related responsibilities.
While serving as our COO, he was a chairman of the Securities Transfer Association’s Operations Committee for multiple years. Don is currently an active member of several industry-wide organizations and committees.
Controller & Vice President of Accounting
Narisha joined Continental in 2016. She plans, organizes, and maintains the accuracy of all financial information recorded and reported. Her primary responsibilities include managing her accounting staff, the month-end close; monthly, quarterly, and annual payroll tax reporting; analytical reviews; and providing financials to management and Human Resources. She supports all aspects of the accounting department to meet deadlines, complete audits, and daily processing.
Before joining Continental, Narisha worked at Hunt Mortgage Group as a Senior Accountant, Sizmek Inc. as an Accounting Manager at Dreier LLP as a Senior Accountant. Narisha earned a bachelor of science in Accounting from Hunter College.
Vice President & Director of Customer Communications
In 1990, John began his career in the stock transfer industry when customer service was a cost center. His work ethic, interpersonal skills, and customer-centric philosophy proved he could make customer service a profit center. John moved up through leadership and ventured into the e-commerce industry, melding “old-fashioned customer service” and cutting-edge technology.
In 2001, at a fast-growing stock transfer agency, John upgraded telephone and CRM technology and built a world-class customer-centric culture. He enhanced the customer experience, and employee productivity improved under his leadership.
From 2015 to 2021, John ventured into several industries, from insurance to hospitality to construction management. In 2020, he established a consulting firm.
John joined Continental Stock Transfer and Trust as the VP & Director of Customer Communications
Vice President and Director of Sales Strategy & Marketing
Karri is responsible for strategically growing Continental Stock Transfer & Trust by nurturing relationships with new clients and partners interested in tailored, flexible, and thoughtfully designed services. She also spearheads Continental’s brand and marketing initiatives to enhance customer awareness and drive industry engagement.
She has 34 years of service in the industry, notably 23 years with Wells Fargo, where she served as national sales and marketing manager for Shareowner Services.
Before assuming her role in sales, she held management roles in client administration, strategy, stock plan administration, and corporate trust/escrow services. She is a member of the National Association of Stock Plan Professionals, Shareholder Services Association, National Investor Relations Institute, and a former President of Midwest Securities Transfer Association.
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.
Senior Vice President and Director of Shareholder Services
Mark oversees account administration, corporate actions, and stock transfer. He has more than 30 years of diverse industry experience with several prominent bank transfer agents, including Georgeson Shareholder Services. Mark has overseen complicated business combinations in over 350 Special-Purpose Acquisition Company (SPAC) transactions while at Continental, aggregating more than $50 billion. Mark has handled some of the largest and most complex mergers, working on more than 2,000 transactions in his career.
Mark is a member of the Securities Transfer Association and an active member of the Corporate Actions Division, the Securities Industry and Financial Markets Association.
Vice President and Director of Proxy and Mail Services
Robert manages the day-to-day annual meeting process, mail operations, and scanning/archiving operations. He has nearly 50 years of stock transfer operations experience and has worked at significant transfer agents such as J.P. Morgan and The Bank of New York.
Robert is well-versed in proxy operations, workflow processing, and incoming/outgoing mail operations. Recently, Robert developed and implemented “Certificates on Demand” that allow shareholders to have paper certificates, which have otherwise gone digital. He was directly involved in pioneering many automation processes used in our business today, including electronic voting, workflow imaging, and using barcode technology.