Meet Our Team

Our ATS is powered by Watershed Technologies and uses state-of-the-art technology to connect order senders and liquidity providers.

We proudly provide our clients with exceptional support on all trading and routing inquiries.

Michael Barry

CEO

Michael Barry brings over 30 years of leadership experience in the equity and options industry, with a distinguished career spanning trading, institutional brokerage, and regulatory compliance. As a former Broker-Dealer Manager, Owner, and Founder, Mike has managed operations and memberships across multiple major exchanges, offering him a uniquely comprehensive view of market structure and regulatory obligations.

His previous roles at AG Edwards, AG Becker, Lehman Brothers, First Options, Mesirow Financial, and Knight Executionshave provided him with deep operational insight and a steadfast commitment to best execution and customer service. This experience enables him to navigate the increasingly complex demands of today's financial markets with both precision and integrity.

As the founder of MEB Options LLC and EESAT LLC, Mike continually demonstrated entrepreneurial acumen in the broker-dealer technology space. He also co-owns a compliance consulting firm specializing in broker-dealer regulation, further reinforcing his credentials as a regulatory and operational authority.

Mike is Series 7, 24, and 57 licensed, ACAM certified, and currently serves as Chief Executive Officer, AML Compliance Officer, and Series 24 Principal at Culvert. His extensive experience on the CBOE and his dedication to upholding the highest standards of compliance make him an invaluable leader in both the strategic and regulatory direction of the firm.

mbarry@culvertcapital.com
(708) 227-7893
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John Carroll

CCO / FINOP

John Carroll serves as Culvert's Chief Compliance Officer and Financial and Opertaions Principal (FINOP), bringing more than 25 years of experience in the derivatives markets, with a strong focus on risk management and regulatory oversight.

Throughout his career, John has held diverse roles in trading, risk control, and compliance, giving him a comprehensive view of the operational and financial risks faced by both trading firms and brokerages. His hands-on experience in assessing and mitigating market enables him to design and enforce robust internal controls that align with both regulatory requirements and business objectives.

Since 2013, John has concentrated on compliance leadership at both trading firms and brokerages, applying a deep understanding of market risk and regulatory frameworks to safeguard institutional integrity and client trust. He holds several FINRA licenses-including the Series 3, 4, 7, 24, and 27 — underscoring his qualifications in derivatives, supervision, and financial accountability.

John's leadership ensures Culvert upholds the highest standards of compliance, financial integrity, and risk management across all operations.

jcarroll@culvertcapital.com

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Gordon Lam

Information Security / Business Development

Gordon Lam serves as Culvert's Information Security Officer and Business Developer, bringing over 15 years of experience in data analysis, systems architecture, and information security across Canada's leading financial institutions.

He built his career within the network of the Big Five Canadian banks, holding roles as a Data Analyst, Systems Analyst, and Information Security Analyst, where he developed a deep understanding of secure data infrastructure and enterprise-scale analytics.

While at TD Bank Financial Group, Gordon played a key role in the development of Canada's largest data lake platform (EDPP) and is the holder of a Hadoop-related patent resulting from that groundbreaking work.

Gordon is FINRA Series 7 licensed and brings a rare blend of technical expertise, regulatory awareness, and client-facing experience to the Culvert team, supporting both our cybersecurity infrastructure and our client engagement strategies.

glam@culvertcapital.com
(647) 519-4526

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Ernest Brooks

Operations Lead / Business Development

Ernest Brooks serves as a vital Operations Officer and Business Developer at Culvert, acting as a key liaison between the firm and its clients. With a career spanning over two decades, Ernest brings a dynamic blend of operational knowledge, market experience, and client-focused communication to the team.

Licensed with the Series 4, 7, 24, 57, and, 63, Ernest has held a range of sales and trading roles since 2001 across both U.S. and International Banks as well as domestic brokerages, giving him a global perspective on market operations and client service.

His career reflects a unique versatility — not only in financial markets, but also in leadership and entrepreneurship. Ernest served as Chief Financial Officer of a social media startup, where he gained valuable insight into business development and cross-functional management.

He remains actively engaged with his alma mater, Louisville University, contributing to the academic and professional growth of its community.

Ernest's approachable style, operational expertise, and dedication to client engagement make him a cornerstone of Culvert's day-to-day operations and long-term client relationships.

ebrooks@culvertcapital.com
(859) 396-7727

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