Ben Lupo Email and Phone Number

• Client facing responsibilities included the creation of targeted research budgets and the tracking of annual financial obligations.• Liaison between trading desk and middle office operations to track/monitor the life cycle of our clients trading activity. • Intermediary between our finance department and the research providers serving our Institutional and Hedge Fund account base, 2,200 global relationships. • Point Person managing third party brokerage relationships, which included the verification of trading activity and validation of revenue share transfers; average monthly transfer $4.3 million. • IT Coordinator between the business and Cowen’s enterprise development group; managed the implementation process of needed internal and external system enhancements

Managed a store in Massapequa, NY. Primary responsibilities included: managing staff, payroll and inventory control. Instilled servant leadership guidelines of the 7-Eleven Corporation - Integrity, Guest Focus, Accountability, Recognition, Excellent Execution, People and Teamwork.

Servicing Tradebook’s client’s commission arrangement needs, Commission Sharing Arrangements, Client Commission Arrangements, Broker Aggregation, Independent Research Providers and Women Owned and Minority Brokerage. Liaison between sales, operations, research and development.A service from Bloomberg Tradebook that helps you keep your trading relationships while consolidating your commission and payment views.

In 1997, Ben joined Smith Barney where he was responsible for vendor related issues pertaining to soft dollar clients. His duties included being a soft dollar salesperson, reconciliations mgmt, and introducing broker business admin. and ops.Beginning in 2004, Ben’s primary focus has been to facilitate the growth of the Introducing Broker product line for Citigroup Global Markets. His responsibilities include client reconciliations and reporting, developing business requirements for automated tracking and reporting of commission mgmt. business and acting as departmental point person in meetings revolving around such issues pretaining to commission mgmt. trading and operations. In 2005, Ben led an assessment of automated reconciliation and exception management tools to manage the business more effectively. Currently, Ben is responsible for all of the Introducing Broker relationships where he monitors and maintains compliance, Anti Money Laundering, INSITE and FINRA EFP reporting.

Commission Management Services