When you sign on with a transfer agent,
you expect to be the center of attention.
We see it that way, too.
We firmly believe that an organization’s true strength lies in its people. For over 50 years, we’ve gathered some of the industry’s most experienced experts to ask the right questions, provide the right answers and deliver exactly the support that clients and their shareholders require.
We’re proud that members of our top-level management staff are available to assist you 24 hours a day, seven days a week. This is one way we differ from other transfer agents and the reason we’ve been recognized year after year in industry surveys as the leader in accessibility and responsiveness.
Our senior management team
Steven Nelson, President and Chairman
With more than 30 years of industry experience, Steven is heavily involved in Continental Stock Transfer & Trust’s day-to-day organizational and administrative issues, and in the overall management of client initiatives. An attorney with a background in public as well as private practice, he is a member of the New York State and Federal Bars. He has practiced at Simpson Thacher & Bartlett, and as a federal prosecutor. Steven is a member of the Securities Transfer Association Board, and chairs its Legal Committee, which is active in promoting important changes within the industry. A magna cum laude graduate of Brandeis University, he received Law Review honors from NYU Law School.
Sharmin Carter, CPA, Vice President Controller and Treasurer
Sharmin joined Continental Stock Transfer & Trust Company in 2016 to assume the responsibilities of Controller and Treasurer. As head of the Accounting Department, she oversees the day-to-day financial activities of the company and its institutional relationships with banks and brokers. Her duties include control of funds movement and the timely preparation of financial reports.
Sharmin’s experience in the financial services industry includes working for some of the largest companies in the United States such as AIG Asset Management Group and ING Investments. She possesses a broad range of managerial, organizational and financial reporting skills. Sharmin is a graduate of Bernard Baruch College with a concentration in accounting and is a licensed certified public accountant in the state of New York.
Donald Gress, Vice President and Chief Information Security Officer
A well-respected industry expert, Donald is actively involved in directing the company’s core “blended services” co-agency relationships. He oversees all Internet-related operations and is the interface between all departments and our programming support staff. Don has spent over 46 years with Continental Stock Transfer & Trust and has detailed knowledge of all operational and regulatory issues, having handled most transfer agent functions.
A former chair of the Securities Transfer Association’s Operations Committee, Don is an active member of several industry-wide boards.
Michael Mullings, Chief Compliance Officer & Corporate Secretary
Michael’s responsibilities include attending to all aspects of restricted and legal transfers, new issuances including restricted stock grants and related vesting transactions, conversions, stock splits, warrant exercises, public offerings (initial, secondary, follow on and at the market), lost securities and the legal review of all agreements (Rights, Escrow, Warrant, Irrevocable Transfer Agent instructions etc.). He also serves as a Senior Relationship Manager for some of Continental’s most sensitive accounts.
With more than 20 years of experience with Continental Stock Transfer & Trust, Michael usually interacts with our clients’ senior officers, directors, and securities counsel regarding the latest SEC rules, providing advice and suggestions about complicated issues.
Michael is a member of the Securities Transfer Association. He holds a master’s degree from the New Jersey Institute of Technology.
John Reformato, Vice President – Manager of Plan Services
John is responsible for the management of all Dividend Reinvestment, Direct Stock Purchase and Employee Stock Purchase Plans. He develops strong relationships with clients as well as providing strong customer relations with shareholders.
John has over 15 years of industry experience. He is a graduate of Susquehanna University in Selinsgrove PA, and has a BA in Business Administration with a Major in Finance.
Gail Schweda, Vice President and Director of Annual Meeting and Proxy Services
Gail Schweda is responsible for all phases of every annual and special meeting, as well as for the Proxy Department. She has 32 years of industry experience, most notably 28 years with Continental Stock Transfer & Trust Company. She works directly with our clients to ensure the success of their annual meetings. She has just initiated an integrated service for our clients, providing a liaison between Broadridge and other banks and brokers, as well as Web hosting, EDGAR filings, fulfillment of material in response to Notice & Access, among others.
Gail is part of a proxy committee that comprises managers from across the industry, which plays a relevant role in SEC proxy decisions.
John Ulla, Chief Operating Officer
John joined Continental Stock Transfer & Trust Company in 2013 to assume responsibilities for Specialized Services, including Dividends, Abandoned Property Reporting, Account Maintenance, Check Reconciliation, IRS Tax Reporting, Research and Dividend Reinvestment.
John is a well-respected industry leader with a wide range of industry knowledge. He has experience in all aspects of the industry and is well versed in the Stock Transfer product.
John has 30-plus years of experience in the transfer agency industry, working for some of the largest transfer agents in the world. This experience has allowed him to accumulate a broad range of managerial, organizational and administrative skills. John also has a vast knowledge of all operational and regulatory issues handled by transfer agents.
John is a former chair of the Securities Transfer Association’s Operations Committee and has participated in several industry-wide boards. John is a graduate of St. John’s University
Karri Van Dell, Vice President and Director of Sales & Marketing
Karri is responsible for strategically growing the business by nurturing relationships with new clients and partnerships interested in tailored, flexible and best-in-class services and by spearheading Continental Stock Transfer & Trust’s brand and marketing efforts. She has more than 28 years of service in the industry, most notably 23 years with Wells Fargo, where she served as national sales and marketing manager for the Shareowner Services Division.
Prior to assuming her role in sales, she held management roles in client relationships, strategy, stock plan administration and corporate trust/escrow services. She is a member of NASPP, SSA and NIRI and President of Midwest Securities Transfer Association.
Margaret Villani, Vice President and Director of Client Administration
Maggie is the point of contact for the Administration group, ensuring that client needs are met in a timely and professional fashion.
With over 30 years of experience in relationship management positions in the securities field – experienced in compliance and securities regulatory issues with a commitment to client education. Her stock transfer experience focuses on client relationships of emerging growth to large public companies. Prior to assuming her role at Continental Stock Transfer & Trust, she held several management positions at other financial firms.
Maggie has sat on the Board of the Mid Atlantic Securities chapter, has been a member of several industry organizations, and has authored many industry articles.
Mark Zimkind, Senior Vice President and Director of Shareholder Services
Mark oversees account administration, corporate actions, stock transfer and investment plan services. He has more than 25 years of diverse industry experience at several large bank transfer agents, including Georgeson Shareholder Services. Mark has overseen complex business combinations in over 100 SPAC transactions while at Continental Stock Transfer & Trust, aggregating more than $15 billion. Mark has handled some of the largest and most complex mergers, working on more than 2,000 different merger transactions in his career.
Mark is a member of the Securities Transfer Association and an active member of the Corporate Actions Division, SIFMA, Inc. He is a graduate of Springfield College.
Robert Zubrycki, Vice President and Director of Mail Operations
Robert is responsible for managing day to day mail operations as well as scanning/archiving operations. He has 45 years of Stock Transfer Operations experience, and has worked at large transfer agents such as J.P. Morgan and The Bank of New York.
Robert is well versed in all aspects of Proxy Operations, workflow processing, and incoming/outgoing mail operations. Prior to this, Robert was directly involved in developing many automation processes used in our business. This includes electronic voting, workflow imaging and the utilization of barcode technology.