DERIVATIVES DEMYSTIFIED
 
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John C. Braddock
photo by Kent Barker

John C. Braddock has over 35 years of experience in the financial services and energy industries. He is a senior vice president with Lakeridge Capital, Inc., a U.S. broker-dealer registered since 1989 with the U.S. Securities and Exchange Commission, a member of the Financial Industry Regulatory Authority, and a member of the U.S. Securities Investor Protection Corporation. Mr. Braddock is also the founder and senior managing partner of Broad Oak Advisors, LLC ("BOA") and Broad Oak Asia (Singapore) Pte. Ltd. ("BOAS"). BOA and BOAS provide financial and investment banking due diligence support services to Lakeridge regarding its work with entrepreneurs seeking access to the international capital markets (2006-Present).

Mr. Braddock was an oil and gas explorationist with ExxonMobil in New Orleans (1978-1982). He then moved to New York as the land manager for Buckeye Petroleum Corporation, a position that evolved into managing due diligence investment research for Tower Capital Corporation (1982-1988), an affiliated venture capital firm. Mr. Braddock has also held a number of financial positions on Wall Street, including with The Bank of New York (1987-1988), as a co-founder and director of the capital markets group for the American Stock Exchange (1988-1992), and as a first vice president for PaineWebber's structured products group (1992-1996). He was also the founding partner and managing director of the structured financial products group and later a director of investments for Oppenheimer & Co., Inc. (1996-2002), and a senior vice president with MFA, an investment management boutique in New York (2002-2006).

During the course of his career, including since 1982 when Mr. Braddock was with various Wall Street firms, since 2006 with Broad Oak, and since 2012 with Lakeridge, Mr. Braddock has engaged in over $1.8 billion of public and private structured derivative and other fundraising transactions. He is the author of Derivatives Demystified: Using Structured Financial Products (Wiley, 1997) and a contributing author to The Handbook of Equity Derivatives (McGraw Hill, 2000). Mr. Braddock holds a Bachelor of Science degree in geology and finance from Louisiana State University (1978), an MBA degree from Baruch College in New York City (1987), and an honorable discharge from the U.S. Marine Corps (1975). He is a member of the American Association of Professional Landmen and holds Series 24 (principal), 7 (general), 22 (direct participation programs), 63 (New York State), 79 (investment banking), and 99 (Operations Professional) Financial Industry Regulatory Authority (FINRA) registrations with Lakeridge Capital Inc., an SEC-registered broker-dealer since 1989 and member of FINRA and SIPC. Mr. Braddock is a guest lecturer in finance and a mentor to graduate business students.




 
 
Derivatives Demystified: Using Structured Financial Products
Copyright © 2007-2015 by John C. Braddock
Published by John Wiley & Sons, Inc.