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Liqi Di
Norman Fuchs
Rafael Marte
Sandesh Seth
Dr. Huakang Zhou
Peter D. Zhou |
Liqi Di is a Managing Director and Chief Operations Officer with extensive experience with risk control and alternative investment related management, research, strategy designation and program composition. In the last seven years, he has developed:
1. The Defined Downside Risk Strategies (DDR);
2. Composed five Funds of Hedge Funds;
3. Conventional private managed fund portfolio of “Zero Down Years”;
4. “Principal Protected Growth”.
Mr. Di is a frequent guest on major business news networks including the Wall Street Multimedia, CNBC and HongKong Phoenix.
He was previously worked as:
Director, Asset Management of R.F. Lafferty Co., & Inc;
Chairman of the Board, Chief Investment Officer (CIO) of Spring Asset Management, LLC;
Certified Financial Manager, Wealth Management Advisor of Merrill Lynch & Co., Inc.;
Project Manager of import export trading department of China International Trust and Investment Corporation (CITIC), a major financial institution of P. R. of China.
He completed all courses and requirements, except a dissertation for a M. A. in Master Degree of Business Information System from the People's University of China, TongJi University with full scholarship; and graduated from Beijing Architecture Engineering University with BA degree.
Norman Fuchs is a Managing Director for American Union Securities, Inc. ("AUSI") He previously held the position of Senior Research Analyst at M.H. Meyerson & Company (“MHMY”), as well as a founding partner in the Rainer Research Group, a division of MHMY. Norman Fuchs has held the position of Portfolio Manager at Bio-Quest Ventures, which managed in excess of $80 million, and served as Senior Vice President at Aberlyn Capital Management, a venture leasing firm, specializing in providing capital to biotechnology companies. Mr. Fuchs was also the founder and President of Wheaten Partners, Inc., a boutique FINRA member investment bank. He has extensive experience and relationships within the VC and investment banking community, and has structured and negotiated the IPO’s or secondary financings for many of the portfolio companies in his fund. Mr. Fuchs has personally worked with a multitude of private and public companies, assisting with business development and financing. The following is a list of some of the Aberlyn portfolio companies: Advanced Refractory Technologies, Inc., Bovie Medical, Hemagen Diagnostics, Idetek ImmunoGen Inc., Innovir Laboratories, InSite Vision, Inc., K.O. Technology, Inc., La Jolla Pharmaceuticals, Jones Medical, Inc., Spire Corporation, MedClone, Inc. MicroCarb, Inc., MP Holding Company, Inc., Neose Pharmaceuticals Inc., New Horizons Diagnostics Corporation, NURTURE, Inc., and RhoMed, Inc.
Mr. Fuchs is also the President of ATH Ventures Inc., a Delaware corporation formed in 1992. ATH specializes in fund development and management, technology transfer, corporate finance and investment banking services for high technology companies.
Mr. Fuchs has been a guest analyst and host on major business news networks including FOX, CNN, Bloomberg, and CNBC, speaking on technology and business issues. Mr. Fuchs is a member of the CFA Institute and the New York Association of Security Analysts, and has the following FINRA registrations: series 4, 7, 63, 24, 27, 87.
Rafael Marte is a graduate of Baruch College with a BBA in Accounting. He is CPA licensed in New York State with over 20 years of experience specializing in the Securities industry. He has the FINRA series 27 and has been a Financial and Operations Principal “FINOP” for numerous FINRA member firms over the last seven years.
Currently he is the FINOP for the following Entities:
Sequoia Investments
HRC Capital Investments
Reid & Rudiger, Inc
Longstreet Capital Partners
Gyphon Financial Investments
Greenwich Global, LLC
He has also provided the accounting for over 40 Hedge Funds and investment partnerships.
Sandesh Seth is a Managing Director for AUSI. Mr. Seth has over fifteen years of investment banking, equity research and pharmaceutical industry experience. Mr. Seth was an investment banker at SG Cowen & Co. LLC, a leading provider of investment banking services to emerging growth companies. As a core member of the firm’s healthcare investment banking group, Mr. Seth was involved in over 35 completed transactions for U.S. and European lifesciences companies via which over $4 billion in capital was raised. Transactions included venture investments, private placements, IPOs, FOs, PIPEs, Convertible and High-Yield Debt. Prior to SG Cowen, Mr. Seth was a member of Bear Stearns Inc.’s Institutional Investor ranked Pharmaceuticals Equity Research team. Prior to Bear Stearns, Mr. Seth was at Commonwealth Associates, Inc. a merchant bank, where he covered the lifesciences sector. As part of his financial services experience, Mr. Seth was also involved with various strategic initiatives such as mergers and acquisitions, leveraged and management buy-outs, and licensing and joint ventures, including the $100 billion merger of Pfizer and Warner-Lambert and the $20 billion merger of Pharmacia & Upjohn with Monsanto. In addition, he has over seven years of pharmaceutical industry experience including R&D project management, marketing and strategic planning at SmithKline Beecham Inc., Warner-Lambert & Co., and Pfizer Inc respectively.
Mr. Seth is also the Managing Partner at AmerAsia Capital Partners, LLC, a strategic advisory and consulting firm focused on U.S.-Asia cross-border, life-sciences based business.
Mr. Seth has an MBA in Finance from New York University; an M.S. in the Pharmaceutical Sciences from the University of Oklahoma Health Center and a B.Sc. in Chemistry from Bombay University. He has published and presented several scientific articles and was awarded the University Regents Award for Research Excellence at the University of Oklahoma. Mr. Seth was designated as Regulatory Affairs Certified (R.A.C.) by the Regulatory Affairs Professionals Society which signified proficiency with U.S. FDA regulations. He is also registered with the FINRA as a General Securities Representative (Series 7 and 63).
Dr. Huakang Zhou is the Chairman of the Board of AUSI. He currently serves on the Board of Directors for China Huaren Organic Products, Inc. ("CHRN.OB"), a public company listed on the Over The Counter Bulletin Board ("OTCBB"). He has previously served as Chief Executive Officer and Chief Financial Officer for China Software Technology Group Co., Ltd. ("CSWT.OB"), a public company listed on the OTCBB.
Dr. Zhou is chairman of the board of Warner Technology and Investment Corp. ("WTIC") a company which provides international consulting services. Warner is licensed with the Chinese government as an official host for Chinese government officials and business executives in the US. Since 1999, Warner has been one of a few consulting firms that has assisted Chinese private companies to go public in the US including American Oriental Bioengineering (NYSE:AOB) and Harbin Electric, Inc. (NasdaqGM:HRBN). In 1989 Dr. Zhou received a Ph.D. degree in Operations Research from Polytechnic University of New York, Brooklyn.
Peter D. Zhou is a Managing Director for AUSI, and also serves as the Head of Retail Accounts. Mr. Zhou was a broker at J.P. Turner & Company, L.L.C., a a full-service investment bank and securities trader prior to joining AUSI. Mr. Zhou manages the day-to-day operations of AUSI in addition to serving as the US representative agent to numerous clients including China Yingxia International, Inc. (CYXI.OB), China DongSheng International, Inc. (CDSG.OB), China Stationery & Office Supply (CSOF.OB), and China Agro Sciences Corp. (CHAS.OB), all public companies listed on OTCBB.
Mr. Zhou holds a Bachelor’s degree in Economics from The University of Michigan, Ann Arbor and has the following FINRA registrations: series 7, 63, 24 and 55.
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