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Neil M. Shaughnessy

Managing Director and Head, Operations, Prime Brokerage

Neil Shaughnessy is a Managing Director, Head of Operations, Prime Brokerage. Prior to the acquisition of Concept Capital Markets, LLC by Cowen, Mr. Shaughnessy and served as the Co-Chief Operations Officer for Clearing and Customer Service of Concept with primary responsibility for broker-dealer operations. Mr. Shaughnessy has been affiliated with Concept Capital and its predecessors since 1998 and has been involved in the financial services industry since 1986 with extensive experience in operations.

Before joining SMH Capital as VP of Operations and CIO, Mr. Shaughnessy was a Senior Vice President at Principal Financial Securities, managing the Branch Support and Trading Support groups. Prior to that, he worked at Prudential Securities’ Wexford Clearing Subsidiary as conversion coordinator and director of new product development. Earlier in his career, Mr. Shaughnessy served as the project coordinator for the administrative division of Prudential Securities for several years. Before that, he worked in various capacities in Prudential’s Operations group in a number of departments, including Retirement Plans, Order Room/P&S, OTC trading support, International Operations and Securities Lending.

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