Walter E. (Skip) Auch, Jr.
Managing Director, Auch Company LLC
5 Ridgeview Ave.
Greenwich, CT 06830
FINRA Despute Resolution Arbitrator, Firm & Branch Management, Board of Directors, Audit Committee, Governance,Capital & Consumer Markets, Investment Banking, Underwriting & Syndication, Deal Allocation, Public Offerings, Venture Capital, 144, Private Placements, Investment Management, Mutual Funds,,Brokerage (retail, institutional, discount, prime) Marketing, Recruiting & Employment Issues, Broker Protocol, Compliance, Supervision, Research (security analysis),Equities, Fixed Income (Corporates, Governments, Structured Investments, Securitized Investments,Mortgages, Municipals, Preferreds,
Money Markets), ETFs, Alternative Investment, Commodities & Futures, Retail and Institutional sales, sales practices, Limited Partnerships, Hedge & Fund of Funds, Securities Transfer, ACAT, Short Position,
Churning, Asset Allocation, Concentration, Trading
Ohio Wesleyan University, BA, History
New York University, MBA, Finance
FINRA Arbitrator Training Program
U.S. Army Officer
-OCS- Ft. Belvoir, Va.- Combat Engineers
-Ft. Leonard Wood, MO - Exec. & Training Officer
-Viet Nam, Mekong Delta - Engineer Officer
40 Years experience in the Securities and Investment Banking Industries.
Functional Roles: Branch Management, Product Management, Senior Management, Search &Recruitment Firm, Investment Banking Officer, Syndication Officer, Retail and Institutional Sales, Floor Operations Manager, Trader,