Financial services professional with 14 years of experience in the brokerage industry. Extensive knowledge of FINRA rules and regulations which include margin lending, securities lending, trading, and settlements.
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Address client accounts for House calls, Federal Calls, and Day trading calls. Review accounts for other FINRA violations which included Liquidation violations, 90 Day Trading violations, Free Riding violations, and FINRA related issues. Interact with Compliance managers while processing trade correction which involve Equity trades, Mutual Funds, ETF's, and Bonds. Assist representatives with correcting buy or sell orders, symbols, quantity, amount, and settlement.
Calculates, adjusts, and processes compensation/commission payments for field/sales personnel and broker/dealers. Reconciles discrepancies to locate missing payments and/or locates errors.
Demonstrated effective and consistent client support. Total involvement with all aspects of customer service including solving problems, answering questions, and interfacing with the trading department. Assisted clients with placing trades.
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