Auerbach Grayson
 
 
 
Key People  
 
David Grayson Co-Founder and Chief Executive Officer

David Grayson previously served as Chief Executive Officer of DBI Holdings, Inc., a financial company with two brokerage subsidiaries. One, a U.S. based New York Stock Exchange member specialized in providing execution in U.S. equities to foreign institutions. The other, a London based broker provided execution in U.K. equities to institutions and retail investors in the U.K. and other countries within Europe. This company was acquired by what is now ABN Amro Bank where Mr. Grayson served as a Managing Director in their U.S. brokerage subsidiary.

He began his career in the brokerage industry in 1975, when he helped found Discount Brokerage Corporation, one of the first companies to provide discount brokerage services. He served as Executive Vice President and Chief Operating Officer. This firm was later sold to what is now Bank of America N.A.

Mr. Grayson has served as the Chairman of the Institutional Firms Committee of the Securities Industry and Financial Markets Association (SIFMA). He is also a former member of the International Committee of the SIFMA and a former member of the New York Stock Exchange Specialty Firms Advisory Committee, and Disciplinary Hearing Committee.

He is a former Chairman of the Retinal Research Fund of the Weill Medical College / New York Presbyterian Hospital, Treasurer and a Director of Castle Hill Center for the Arts, and a former Trustee, and presently serves on the Investment Committee of the Trevor Day School in New York City.

He has traveled to over 100 countries and lives in New York City.

 


  Alex Seiler Managing Director, Global Sales & Trading

Alex Seiler joined Auerbach Grayson in 2014 and is responsible for Global Sales and Trading. His focus is expanding the firm’s institutional equity franchise through strengthening and expanding relationships with institutional clients.

He has more than 25 years of industry experience in forming and expanding institutional equity business lines at Morgan Stanley, CS First Boston, UBS Securities and HSBC. Prior to joining Auerbach Grayson, Mr. Seiler restructured and recapitalized two old line securities firms. He has served in sales, investment banking , relationship management and firm management roles for both smaller boutique firms and larger bulge bracket firms.  

 

 
  Garth Ballantyne Managing Director, Global Trading

Garth Ballantyne has 13 years experience in the financial community both within the US and abroad. Garth began his career working for Morgan Grenfell trading US equities before moving to the international side trading Russian Securities for Renaissance Capital. From 1998 to 2000, Garth was a global sales trader at Auerbach Grayson. After moving to Paris, France for four years in 2000 to sales trade European Equities for Oddo Securities, Garth returned to the US and spent 4 years sales trading European equities for Westlb Securities. Garth returned to Auerbach Grayson in 2008.

Garth received a BA in Economics from Trinity College in Hartford, CT.

 

 
  Francis J. Muller Managing Director, Global Operations

Frank Muller is responsible for the settlement of Auerbach Grayson transactions in over 120 countries. He joined Auerbach Grayson in 1993 and was instrumental in setting up the original and current operational system and procedures for trade confirmation and settlement. He works with each local market back office to implement real-time pre-settlement verifications for cross-border transactions.

Prior to joining Auerbach Grayson, Mr. Muller served as Operations Manager at Cresvale International Inc., New York, where he created a U.S. equity and arbitrage operations department. He also worked at Walsh Greenwood an Options broker and Gintel & Company, a major bond dealer. He began his career in operations at Dean Witter Reynolds.

 

 
  Mara Stempler Chief Financial Officer

Mara Stempler joined Auerbach Grayson in November 2013. She is responsible for managing the financial operations of the firm.

Prior to Auerbach Grayson, Mara served as Chief Financial Officer, Secretary and Treasurer of Burnham Financial Group, Burnham Asset Management, and Burnham Securities Inc. where she managed the financial operations of the Investment Advisor and Broker Dealer. She also served as Financial Operations Principal of Burnham Securities Inc. Previously, Mara had been associated with Drexel Burnham Lambert and Dreyfus.

Mara is a graduate of The State University of New York at Binghamton with a Bachelor of Science in Accounting from the School of Management.

 

 
  Sharon Gaviria Chief Compliance Officer

Sharon Gaviria is responsible for overseeing Auerbach Grayson's financial, compliance and administrative areas. She has over 12 years of experience in the financial community and, before joining Auerbach Grayson, served as the assistant to the Financial Vice President of Pacific National Bank.

Mrs. Gaviria earned a degree in Economics with a minor in International Business from Universidad Catholica de Santiago de Guayaquil-Ecuador.

 

 
   
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