Mark Goldwasser
CEO at CEROS FINANCIAL SERVICES
Mark Goldwasser has worked in Finance based in Wall St for over 40 years. Mark has worked at a variety of Investment Banks including Bear Stearns, Lazard Freres, Jefferies, and ING Barings in leading roles, many as a Managing Director or Executive Vice President.
Mark was responsible for significantly growing National Securities as an Independent Broker-Dealer and Investment Bank. Mark was CEO of National for 16 years and Executive Chairman of National Holdings Corporation, a Public Co. for over 10 years. As Chairman he was responsible for the acquisition of two other publicly traded financial service companies.
At National Mark was the Co-Founder of Robotic Ventures, the country's first VC fund focused on robotics — portfolio companies included early-stage robotics innovators, one of which completed a successful IPO and another which was acquired by a major publicly traded medical device company.
Over his long career, Mark has been responsible for raising tens of Billions of dollars in a variety of securities and markets including emerging markets, SPVs for high-growth private companies, Fixed Income and Private Venture Equity including Israel.
Mark is currently the CEO of Ceros Financial Services with over $7.5 Billion in Assets.
* References to prior career activities, transaction volumes, and portfolio companies reflect historical activities conducted at prior firms and are not indicative of future results or the performance of any current or proposed offering at Ceros Financial Services Inc.
Chris Dewey
Partner at CEROS FINANCIAL SERVICES
Chris Dewey has over 40 years of financial services experience that started on the high yield bond desk at Bear Stearns. In 2001, Chris and Mark Goldwasser started Robotic Ventures LLC, an early fund dedicated to robotics and emerging technology. Chris has since built an
extensive venture career with a focus on medical robotics and technology. Of note, he was a founding board member and angel investor in Mako Surgical (acquired by Stryker); founding board member and angel investor in Auris Surgical (acquired by Johnson & Johnson).
Earlier in his career, Chris was Executive Vice President at Jefferies LLC and Vice Chairman of the Board at National Securities Corp. He also co-founded Canon Films in 1965, acting as president for the first independent film studio and public company.
References to prior investment activities and portfolio company outcomes reflect Mr. Dewey's personal investment history prior to his role at Ceros Financial Services Inc. These references are not indicative of future results or the performance of any current or proposed offering.
Cassel Shapiro, CFA
Head of Capital Markets
Jeffrey B. Engel
Senior Managing Director, Capital Markets
Joseph Hain
Managing Director, Investment Banking
Cassel Shapiro, CFA
Head of Capital Markets at Ceros Financial Services
Founded and managed late-stage venture funds with exposure across technology, aerospace, digital assets, and life sciences sectors.
Orchestrated $1B+ in venture and capital markets transactions on behalf of national broker/dealer — hands-on investor director, strategic and operational adviser. Incubated and led venture-backed Skillr App through 2024 private equity sale — a telemedicine-anchored marketplace for on-demand VidChats™ with live professionals and AI avatars — experience across transactions in digital technology, medical devices, aerospace, agriculture tech, crypto mining, turnarounds, and reorganizations.
Previously headed trading for Kellogg Capital Group’s Special Situations Fund. Accomplished special situations fund manager, private equity investment banker, and entrepreneur — experience across transactions in digital technology, medical devices, aerospace, agriculture tech, crypto mining, turnarounds, and reorganizations.
CFA Charterholder (2008) and FINRA licenses: Series 7, 24, 79, 65, 55, 63, and 87.
References to prior transactions reflect completed events and are not indicative of future results or the performance of any current or future offering.
Jeffrey B. Engel
Senior Managing Director, Capital Markets at CEROS FINANCIAL SERVICES
Jeffrey is a longstanding Wall Street professional with 36 years’ experience as a distressed debt analyst & portfolio manager (Banco Santander and Standard Bank) and, since 2003, as a senior executive in Credit Sales and Trading (RBC, Stifel and GMP). Mr. Engel has significant experience as a principal, and as an adviser, in investing across the capital structure in a wide variety of industries and asset classes, including energy, healthcare, biotech, telecom, and digital assets. He is currently Senior Managing Director of Capital Markets at Ceros Financial Services (FINRA member Firm). In addition, Mr. Engel is a General Partner in the Pangea Blockchain Fund and a Board of Directors Member of Real Brands Inc (OTCMKTS: RLBD) a CBD extraction and branding company. Mr. Engel began his career in 1988 at Drexel Burnham Lambert as an Associate in their M&A Department in New York.
Mr. Engel has a J.D, University of Miami School of Law (’87) and a B.A., Sarah Lawrence College, (’84). He was a Trustee of Sarah Lawrence 2003-06 and was a board member of the Genetic Disease Foundation at Mt. Sinai Hospital, NY 2006-2023.
Joseph Hain
Managing Director, Investment Banking at CEROS FINANCIAL SERVICES
Mr. Joseph Hain, also known as Joey, serves as Managing Director of Ceros Capital Markets. Prior to Ceros, Mr. Hain was Director of Noble Capital Markets. Mr. Hain also served as Managing Director, Head Trader, and Portfolio Manager at the Lawrence Fund LP, where he oversaw and directed the entire trading and class action lawsuit operation. Mr. Hain is the Co-Founder and Limited Partner at Intrinsic Value Capital LP. Previously, he served as a Portfolio Manager of Robotti & Company, Incorporated, where he managed portfolios of HNW individuals and family businesses as well as served as Portfolio Manager of the Glaubman Rosenberg & Robotti Fund LP. a fundamental value focused hedge fund. Mr. Hain began investment banking in 2008 and served as Senior Vice President at WestPark Capital, Tejas Securities, Wynston Hill Capital Management, and Paulson Investment Company. Mr. Hain was also Senior Vice President at Stern Aegis Ventures an affiliate of Aegis Capital Corp. and worked with both public and private companies as well as institutional, retail and HNW clients globally. Mr. Hain is a recipient of 40 under 40 for M&A and Dealmaking from M & A Advisor, and is on the Regional Board for The Diabetes Research Institute. Mr. Hain holds the following security designations: Series 7, 63, 65, and 79 FINRA Licenses. Mr. Hain received a Bachelor of Science from the State University of New York at Albany with a core concentration in Biology, Chemistry, and Physics.
The M&A Advisor 40 Under 40 recognition is awarded based on criteria established by M&A Advisor. Ceros Financial Services Inc. did not pay for this recognition. Past recognition is not indicative of future performance
