Provide Business Control Guidance to the Equity Cash Sales and Trading line of business covering High and Low touch, ALGO and Program Sales and Trading services.

Provide Compliance Advisory services to the fixed Income Sales and trading Desk.

Executed trades for internal accounts in financial instruments including; Equities,Bonds, Options and Mutual fundsUtilize sell-side expertise to optimize execution quality, price and minimize transactioncosts Ability to multi-task in a fast paced environmentCan work independently within a team environmentStrong understanding of electronic trading systems (ETS) and transaction cost analysis(TCA)Executed and provided guidance to accounts on complex Options strategies

Worked closely with Compliance to answer inquiries, enhance policies and procedures andensure Best ExecutionMarket-maker in over 100 NASDAQ and 5000 OTCBB and Pink Sheet securitiesGenerated over $1 million per year in gross trading profit and commissionsExecuted VWAP, Market on Close/Open and Program Basket ordersSupervised over 10 traders and assistants for risk and best executionImplemented record keeping and retrieval software for Compliance and Accounting, savingthe Firm over $500,000 Installed the firm's first Customer Relationship Management software to enhance clientIndications of InterestDeveloped a nationwide network at Broker Dealers, Institutional and Corporate accountsNegotiated firm's lease and several vendor contracts saving the firm over $1 million inone year

Responsible for the quality of execution for over 500 orders per day from 2,000 accountexecutivesTransformed an antiquated manual order handling system into a low touch electronictrading systemSaved the Firm over $1 million by eliminating errors due to manual inputDownsized the department by attrition saving over $200,000 annuallyRecruited and trained existing and new employees

Helped build an equity trading desk that grossed over $10,000,000 in trading profit andcommissions per monthRecruited and trained over 40 individuals for trading and support staff over a five yearperiodHeavy public relations through extensive travel and quality assurance

Stocks, bonds, options, mutual funds

High net worth sales group Stocks, bonds, options, mutual funds

Supervised a group whose daily responsibilities were to convert, analyze and book foreigndenominated payments from Private Placements to Prudential's General Ledger Created a debt grading model which monitored payment history by debtors for gradingrecommendationsCreated a model to monitor late payment items to limit exposure to risk due to currencyfluctuations

Responsible for internal accounting controls of Firm accounts including; cash, leaseagreements, accounts receivable/payable, income and gain/loss from investmentsProcessed journal entries and analyzed actual P&L results vs. budget and estimates

Prepared reports to client management on the evaluation of internal accounting anoperational Responsible for the audit, preparation of financial statements and Auditors' Opinions foran array of clients Review client's internal controls, policies and procedures for accordance with GAAPSpecialized in the auditing of Hedge and Corp Mutual Funds which consisted of bonds,equities and derivatives Prepared financial statements to be used in a Prospectus Created Audit Programs to be used for annual and quarterly reviewsHeavy analytical and quantitative analysis