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October 10, 2015 3:01 AM ET

Capital Markets

Company Overview of Concept Capital Markets, LLC

Company Overview

Concept Capital Markets, LLC provides brokerage and fund services for institutional customers, investment managers, hedge funds, and registered investment advisors in the United States. It offers prime brokerage services to hedge fund managers, including fund formation, direct execution, outsourced trading, directed brokerage, and commission sharing agreements, as well as daily assistance with trade clearance and settlement, and other back office functions. The company also provides institutional research, sales, and trading services, including bio-tech, healthcare, and industrial materials research; and derivative solutions and fixed income trading products, as well as offers risk managemen...

1010 Franklin Avenue

Suite 303

Garden City, NY 11530

United States

Founded in 2010



Key Executives for Concept Capital Markets, LLC

Chief Executive Officer and Senior Managing Director
Co-Founder and Senior Managing Director
Age: 54
Chief Financial Officer, Managing Director and Financial Operations Principal
Chief Operating Officer and Managing Director
Managing Director of Prime Brokerage Sales
Compensation as of Fiscal Year 2015.

Concept Capital Markets, LLC Key Developments

Concept Capital Markets Appoints Pennington Miller-Jones as Managing Director

Concept Capital Markets announced that it has appointed R Pennington Miller-Jones (Penn) as Managing Director Head of Prime Brokerage Sales. Penn is a seasoned prime brokerage executive with a great deal of experience in sales and operations and an impeccable reputation with alternative investment managers and other service providers to the hedge fund industry. In his new position, Penn will lead the company's sales effort and work with the firm's management team to further refine and improve prime brokerage offering and extend reach to a broader audience. Penn comes to the company following nine years at Jefferies LLC, where he served as Managing Director - Head of Equity Prime Brokerage Sales, and was an integral part of the team that built the prime brokerage business at the firm. He was involved in all aspects of the business, most notably the sourcing of portfolio management software, trading systems and capital introduction. Among his other responsibilities, he negotiated and structured prime brokerage and related agreements to meet client specific needs. Prior to Jefferies, Penn served as Managing Director - Head of East Coast Prime Brokerage Sales at Banc of America Securities, and before that as Senior Vice President - Prime Brokerage Operations at Montgomery Securities/NationsBanc Securities prior to its merger with BofA. He began his brokerage career in 1992 with the Pershing division of Donaldson, Lufkin & Jenrette.

Concept Capital Markets Appoints Michael Tumulty as Managing Director, Operations Administration and Client Support

Concept Capital Markets, LLC announced that Michael Tumulty has joined the firm as Managing Director, Operations Administration and Client Support. Mike is a seasoned brokerage executive with a great deal of experience working with alternative investment managers, and in his new position with Concept Capital will work with existing team to further refine and improve the firm's prime brokerage offering and the service level.

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