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.

Starting in the early 1990s, Charlie Gushee served as a Director of European Equity Sales for Societe Generale/SG Cowen in New York after receiving an MBA from Columbia Business School, and as Vice President of European Equity Sales for Bank Julius Baer/Kepler Equities. He joined Auerbach Grayson in 2006.

Mr. Gushee began his career in the 1980s as a retail broker at E.F. Hutton & Co. and Smith Barney in Los Angeles after earning a BA from Claremont McKenna College. In addition, he has served for 2 years with the Peace Corps in Morocco, and lived in Paris, France.

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.

FINRA Registered: 7, 63, 55, 24

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.

Sharon Gaviria is responsible for overseeing Auerbach Grayson's financial, compliance and administrative areas. She has over 9 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 an degree in Economics with a minor in International Business from Universidad Catholica de Santiago de Guayaquil-Ecuador.

FINRA Registered: Series 27