Bryan Sager Email & Phone Number

Chicago

• Facilitated completion of block sized trades for high net worth customers including and under 401k, ESOP, ESPP, Rule 144, & Rule 10b-18 parameters, in compliance with the directives required.
• Responsible for allocating and clearing completed transactions to specific client accounts when required through various NSCC and TRF facilities.
• Responsible for daily trade review of clearing and exception reports; and resolving any relevant issues with associated clearing firms, counter… Show more
• Responsible for daily trade review of clearing and exception reports; and resolving any relevant issues with associated clearing firms, counter party back office personnel, and/or appropriate market centers
• Worked closely with compliance to formulate appropriate and diligent responses and resolutions to relative inquiries from governing bodies including the SEC, FINRA, and relevant SRO’s.
• Maintained an outstanding level of customer service while handling a high level of both inbound and outbound service calls in an extremely face paced environment

• Facilitated completion of block sized trades for high net worth customers including and under 401k, ESOP, ESPP, Rule 144, & Rule 10b-18 parameters, in compliance with the directives required.
• Responsible for allocating and clearing completed transactions to specific client accounts when required through various NSCC and TRF facilities.
• Responsible for daily trade review of clearing and exception reports; and resolving any relevant issues with associated clearing firms, counter… Show more
• Responsible for daily trade review of clearing and exception reports; and resolving any relevant issues with associated clearing firms, counter party back office personnel, and/or appropriate market centers
• Worked closely with compliance to formulate appropriate and diligent responses and resolutions to relative inquiries from governing bodies including the SEC, FINRA, and relevant SRO’s.
• Maintained an outstanding level of customer service while handling a high level of both inbound and outbound service calls in an extremely face paced environment

• Responsible for facilitating equitable trading in specific issues designated to me
• Oversaw and handled customer orders as an individual market maker, while maintaining the highest level of governing standards as set forth by the SEC, FINRA, as well as governing SRO’s

• Acted as a liaison to the Exchange trading floor, off-floor member listed firms, and Over the Counter firms
• Interpreted NASD and SEC rules as well as CHX policies and procedures
• Advised MAX customers to the status of their orders and assure proper handling of those orders
• August 2001, Promoted to Level II Service Representative