Chief Executive Officer, ETC Brokerage and Innovayte

Catherine “Cat” Davies is the Chief Executive Officer of Innovayte. Innovayte is a full-service custody and clearing firm that specializes in supporting and servicing independent RIAs, introducing broker dealers and hybrid advisors. Cat is responsible for creating a strategic plan with new branding and marketing, expansion and implementation of strategy to a full-scale plan, and leading the team to create a scalable, technology-enabled business service platform with broad portfolio of complimentary products and services.

Prior to joining Innovayte, Cat worked at Hightower as the Chief Solutions Officer responsible for the development, management and adoption of Hightower’s business solutions and services. Prior to joining Hightower, Ms. Davies brought more than 25 years of strategic experience to firms such as Fidelity Investments and Charles Schwab.

President and Chief Operating Officer

Jon is the President and Chief Operating Officer of ETC Brokerage Services. With three decades of leadership expertise in broker dealer and RIA custody roles, Jon is a seasoned executive who has made significant contributions to the financial industry.

In his most recent role as Managing Director at Charles Schwab Advisor Services, Jon oversaw critical functions such as Trading, Middle Office, Client Service, and Operations. Jon has also served in Sales capacity roles, where he was responsible for cultivating relationships with RIA clients.

Jon holds a B.S. in Business Administration with a minor in Math from the State University of New York at Oswego, in addition, he holds an MBA from Arizona State University. Along with his academic achievements, Jon boasts a comprehensive set of licenses, including Series 7, 9, 10, 24, 55, and 63. Beyond his professional pursuits, Jon is an avid reader of nonfiction books and a slightly below average guitar player. He also enjoys spending time outdoors with his wife and daughter.

Chief Compliance Officer

Jason has more than 20 years of financial services experience including senior management and executive level roles at E*TRADE, Folio Investing, and Goldman Sachs. Jason is a driven professional that has demonstrated progressive leadership experience in brokerage and compliance operations developing successful AML/KYC compliance, risk management programs and implementing procedures and controls to support key disciplines such as trading, client onboarding, financial crimes, and fraud investigations. He has extensive experience interacting with C-level executives through program governance, and skilled at relationship building to balance an effective compliance program while still advancing key business goals. Jason earned his bachelor’s degree in business from The University of Phoenix and his MBA from the Gies College of Business at the University of Illinois. He holds FINRA Series 7, 24, 99, SIE and 63 licenses and is also a Certified Fraud Examiner and Certified Anti-Money Laundering Specialist.

Chief Financial Officer

Jeffrey is Chief Financial Officer of Innovayte, with 30+ years of diversified experience in capital markets, brokerage operations and wholesale banking.  He specializes in financial and operations, risk management, compliance, and internal auditing, and he has experience in various roles, including CFO, CCO, controller, and general auditor.  With a proven track record, Jeffrey has addressed requirements through sound strategies, risk management frameworks, and financial operations. 

Prior to joining Innovayte, Jeff has consulted with financial institutions, technology firms, and FinTechs, and held executive roles at major financial services firms such as HSBC, JPMorgan Chase & Co. and Pershing.

Jeffrey received his BBA and MBA from Baruch College CUNY, is a Certified Public Accountant in New York State, and he is qualified with FINRA with the Series 7, 24, and 27. Jeffrey is a member of the American Institute of CPAs and the New York State Society of CPAs where he participates on the Stock Brokerage and Banking Committees.

Vice President of Credit Risk & Margin

With over 25 years of brokerage operations and trading oversight expertise, including 18 years in Senior Management roles at TD Ameritrade, Safra Securities and E*TRADE Financial. Jason has established an analytical mindset driven by continuous process improvement, building and structuring teams that focus on meeting strategic organizational goals while developing skill sets to drive topline performance.

Jason has deep expertise in operational Risk Management, Credit lending, ACAT’s, Fraud, AML and Trade Compliance. Jason is highly valued for protecting organization credit risk, keeping the firm in Regulatory Compliance, while always seeking to add value to the overall client experience.

Jason has a bachelor’s degree in finance and economics from Saint Michael’s College and an Executive Leadership Certification from the Securities Industry Institute Program at Wharton. Jason is FINRA licensed Series: 7, 63, 8, 9, 10, 24 & 4.

Vice President, Broker Dealer Administration

Starting her career at a boutique brokerage firm, Stephanie moved to First Trust Corporation (aka Fiserv Investment Support Services) where she spent over 20 years with the IRA custodian. Working on the technology side of business acquisitions and system conversions, Stephanie was promoted to manage business analysts and moved into Product Development in the 401(k) record keeping space, then to the advisor custody arena. Fiserv ISS was acquired by T.D. Ameritrade and Stephanie was instrumental in the conversion process. In 2010, she and Sean Gultig, started Equity Advisor Solutions. In 2021, Stephanie was awarded the Hispanic Product Manager of The Year award by Wealth Solutions Report for her work on integrating the Equity Trust Company Cryptocurrency Program. Stephanie is a Colorado native, she enjoys the outdoors, traveling, and experimenting in the kitchen. Her studies were at Central Bible College and Regis University, in Computer Information Systems.

Vice President, Brokerage Operations & Client Service

Eamon serves as Vice President of Brokerage Operations & Client Service. He has decades of experience in the financial services space, most recently overseeing custody and asset clearing functions at Charles Schwab for over $8T in assets. He was an integral part of their multi-year integration of TD Ameritrade involving conversion of 18M accounts and $26B of assets onto a single platform. In addition, he has worked in both institutional and retail areas, leading various segments and teams supporting advisor transition services, organizational readiness, and advisor custody & trading support.

Prior to Schwab, Eamon was chief operating officer (COO) of The Hartford Broker Dealers where he had responsibility for defining operational processes and controls and was a senior officer of Curian Capital, where he oversaw the operations of over 100,000 accounts and $10B in assets.

Eamon holds a bachelor’s degree in Finance from Marist College in New York and an Executive MBA degree from the University of Denver. He serves on the Daniels Executive Advisory Board at the University of Denver (DU) and is an adjunct professor at the Daniels College of Business at DU. He also holds FINRA licenses 3, 4, 7, 9, 10, 24, 27, 53, 55, 63 and 99. In his spare time, he likes to play golf, tennis, hike and enjoy the great outdoors of Colorado.

Director of Trading and Middle Office

Jay brings a wealth of experience and expertise to the ETC Brokerage team as our new Director of Trading and Middle Office. Jay has previously worked at major financial institutions, including Charles Schwab and TD Ameritrade and has a robust background in providing brokerage services. His proficiencies span across various domains including trading rules, practices and policies, client and team management, risk management, and communication at all levels of leadership. He has actively engaged in technology development, spearheading the creation of cutting-edge trading platforms and facilitating seamless technology conversions.

In his spare time, he enjoys spending time with friends, family and especially his new grandsons.