Talented, profit-driven financial services professional offering an extensive history of performance excellence within the trading and financial services arena.
Leverage deep knowledge of markets, rules and regulations. Possess keen insights into the thought processes, motivation and behavior of industry professionals and customers.
Accustomed to fast-paced, high-volume trading environments, monitor and document trade flows, order routing/execution and trade reporting functions to identify best practices and process irregularities.
Strong quantitative and analytical skills coupled with superior phone skills.
Proven ability to influence peers and managers across organization to identify business risks, and develop and implement measures to prevent, eliminate or mitigate potential losses.
Specialize in trading based on complex technical data, market dynamics and relative strengths and weakness trends. Proficient with Brass, Tradeware, RealTick, Instinet, OASYS, Thompson Reuters, Bloomberg, Thinkpipes, Rediplus as well as MS Office applications.
Financial Industry Knowledge
SEC / NASD Compliance
Order and Execution Management Systems
Problem Solving and Analytical Skills
Order Execution and Management
Market Structure Analysis
Investment Team Communications
Execution Trader02/2011 to 03/2012Wall Street AccessNew York, NY
Responsible for transitiong book of business from LaBranche following its acquisition.
Charged to support professional day traders by executing equity and options orders.
Noted for accurately executing 1M shares in daily volume producing $5K-$6K in commissions.
Agency/Sales Trader03/2005 to 02/2011LaBranche Financial Services IncNew York, NY
Serviced the firms high net worth Professional Traders.
Responsibilities include executing orders, managing and analyzing Profit and Loss Statements, and reconciling end of day positions as well as any trade problems that may occur on a daily basis.
Single handedly produced in excess of 20% of the desks annual commissions both years I have been at the firm.
Executed retail and institutional orders.
Maintained existing and cultivated new clients, many hedge funds in excess of $300 million in assets under management, through aggressive networking strategies and years of relationships made in over 12 years in the business.
Sales Trader/Proprietary Trader/NYSE/NASDAQ01/2003 to 03/2005Gilford Securities, IncNew York, NY
Maintained a sales trading relationship with the firm's high profile accounts Experience in handling options order flow ranging from several hundred to thousands of contracts daily Established and maintain a network of relationships on the floor of NYSE, Third Market and NASDAQ BD's enabling a flow of information and an outstanding execution capability Fully comprehensive in all aspects of clearing operations, trade breaks, reconciliation of the firm's various trading accounts and general maintenance of customer accounts Fluent with electronic platforms.
Trader/Registered Representative01/2002 to 01/2003Brookstreet Securities CorpSyosset, NY
Cultivated many relationships with member firms.
Responsible for the sale and marketing of insurance and investment products on a referral basis.
Responsible for the profit and loss in Brookstreet proprietary trading account.
Participated in the sale of many proprietary Brookstreet products such as REIT's, Direct Participation Programs, Preferred Issues, and Corporate Bond issues.
09/2000 to 05/2001AM Capital LLCNew York, NY
VP of OTC Equity Trading Made markets in over 70 NASDAQ stocks, many of them NASDAQ 100.
Analyze profit and loss statements.
Maintained very profitable relationships with many top Wall Street firms, which have been cultivated throughout my years in the business.
Familiar and compliant with all NASDAQ rules and regulations.
Proven track record of profitability.
03/1996 to 09/2000Gaines Berland IncBethpage, NY
VP of OTC Equity Trading Made markets in over 50 NASDAQ stocks, many of them NASDAQ 100.
Handled retail and institutional accounts.
Analyzed profit and loss statements.
Cultivated and maintained relationships with many Wall Streetfirms.
Financial Sales Representative02/1995 to 03/1996Prudential Preferred Financial ServicesNew York, NY
Responsible for the sale and marketing of insurance and investment products on a referral basis for clients throughout the New York area.
Analyzed each client's individual needs to develop investment portfolios best suited to meet their financial goals.
Established successful client base through aggressive sales techniques and high levels of customer service.
Stockbroker Trainee10/1994 to 02/1995Royce Investment GroupWoodbury, NY
Responsible for the development of sales leads through the utilization of innovative and aggressive cold calling techniques.
Performed in depth research on prospective clientele to insure financial qualifications of clients.
Analyzed clients individual needs to develop investment portfolios best suited to meet their financial goals.
Bachelor of Science: Economics and ManagementScience1991State University of New York, College at Cortlan
LICENSES Series 7, 63, 55 ORGANIZATIONS Member of STANY